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The Russia (Sanctions) (EU Exit) Regulations 2019

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Statutory Instruments

2019 No. 855

Exiting The European Union

Sanctions

The Russia (Sanctions) (EU Exit) Regulations 2019

Made

10th April 2019

Laid before Parliament

11th April 2019

Coming into force in accordance with regulation 1(2) and (3)

The Secretary of State M1, in exercise of the powers conferred by sections 1(1)(c) and (3)(b), 3(1)(a), (b)(ii) and (iii), (c)(ii) and (iii), (d), (e)(iii), (g)(iii), (2)(b) and (c), 4, 5, 7(2) and (5), 9(2)(a), 10(2)(a) and (c), (3) and (4), 11(2) to (9), 15(2)(a) and (b), (3), (4)(b), (5) and (6), 16, 17(2) to (9), 19, 20, 21(1), 54(1) and (2)(a), 62(4) to (6) of, and paragraphs 2(a)(iii) and (b), 3(a) and (b), 4(a)(iii), (b) and (c), 5(a)(ii) and (iii) and (b), 6(a)(ii) and (iii) and (b), 7(a)(iii) and (b), 9, 10(b), 11(a)(ii) and (iii), 13(a), (b), (c), (g), (h), (i), (k), (l), (m), (n), (p), (q), (t), (v) and (w), 14(a), (e), (f) and (k), 17, 19 to 23 and 27 of Schedule 1 to, the Sanctions and Anti-Money Laundering Act 2018 M2, and having decided, upon consideration of the matters set out in section 2(2) of that Act, that it is appropriate to do so, makes the following Regulations:F1

Textual Amendments

F1Regulations extended (British overseas territories) (with modifications) (31.12.2020 immediately after both S.I. 2020/590 and S.I. 2020/951 have come into force) by The Russia (Sanctions) (Overseas Territories) Order 2020 (S.I. 2020/1571), arts. 1(1), 2, Schs. 1, 2 (as amended (11.3.2021) by S.I. 2021/288, arts. 1(1), 2(2); (14.4.2022) by S.I. 2022/453, arts. 1(1), 3-38; (20.7.2022) by S.I. 2022/843, arts. 1(1), 3; (10.11.2022) by S.I. 2022/1167, arts. 1(1), 3-17)

Marginal Citations

M1The power to make regulations under Part 1 of the Sanctions and Anti-Money Laundering Act 2018 is conferred on an “appropriate Minister”. Section 1(9)(a) of the Act defines an “appropriate Minister” as including the Secretary of State.

PART 1U.K.General

Citation and commencementU.K.

1.—(1) These Regulations may be cited as the Russia (Sanctions) (EU Exit) Regulations 2019.

(2) Subject to paragraph (3), these Regulations come into force on exit day.

(3) The following provisions of these Regulations come into force on the day after the day on which the Regulations are made—

(a)this regulation;

(b)regulation 2 (interpretation);

(c)regulation 4 (purposes);

(d)Part 2;

(e)Schedule 1 (rules for interpretation of regulations 7(2) and 16(7)).

Commencement Information

I1Reg. 1 in force at 11.4.2019, see reg. 1(3)(a)

InterpretationU.K.

2.  In these Regulations—

“the Act” means the Sanctions and Anti-Money Laundering Act 2018;

[F2“aircraft licence” means a licence under regulation 65A;]

“arrangement” includes any agreement, understanding, scheme, transaction or series of transactions, whether or not legally enforceable (but see paragraph 12 of Schedule 1 for the meaning of that term in that Schedule);

“CEMA” means the Customs and Excise Management Act 1979 M3;

“the Commissioners” means the Commissioners for Her Majesty's Revenue and Customs;

“conduct” includes acts and omissions;

“Crimea” means the Autonomous Republic of Crimea and the city of Sevastopol;

“document” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;

“the EU Russia Regulations” means the following, as they have effect in EU law—

(a)

Council Regulation (EU) No 269/2014 of 17 March 2014 (concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine) M4,

(b)

Council Regulation (EU) No 692/2014 of 23 June 2014 (concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol) M5, and

(c)

Council Regulation (EU) No 833/2014 of 31 July 2014 (concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine) M6;

[F2“non-government controlled areas of the Donetsk and Luhansk oblasts” means the parts of the Donetsk oblast and the Luhansk oblast of Ukraine as determined in Decree Number 32/2019 issued by the President of Ukraine on 7th February 2019 under Article 1 of the Law of Ukraine of 18th January 2018 Nr. 2268-VIII “On the Peculiarities of State Policy on Ensuring the State Sovereignty of Ukraine over Temporarily Occupied Territories in Donetsk and Luhansk Oblasts”F3;]

[F2“non-government controlled Ukrainian territory” means Crimea and non-government controlled areas of the Donetsk and Luhansk oblasts;]

[F4“OFCOM” means the Office of Communications;]

“trade licence” means a licence under regulation 65;

“Treasury licence” means a licence under regulation 64(1); the “Ukraine Financial Sanctions Regulations” means—

(a)

The Ukraine (European Union Financial Sanctions) (No.2) Regulations 2014 M7, and

(b)

The Ukraine (European Union Financial Sanctions) (No.3) Regulations 2014 M8;

“United Kingdom person” has the same meaning as in section 21 of the Act;

“working day” means any day other than—

(a)

Saturday or Sunday,

(b)

Christmas Day or Good Friday, or

(c)

a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in any part of the United Kingdom.

Textual Amendments

F3Law of Ukraine of 18th January 2018 Number 2268-VIII “On the Peculiarities of State Policy on Ensuring the State Sovereignty of Ukraine over Temporarily Occupied Territories in Donetsk and Luhansk Oblasts”. Verkhovna Rada of Ukraine Information of 09.03.2018 - 2018, No 10, p. 67. URL: https://zakon.rada.gov.ua/laws/show/2268-19 (in Ukrainian). Presidential Decree Number 32/2019 “Decree of the President of Ukraine: On the the Borders and the List of Districts, Cities, Settlements and Villages, and parts of their territories, temporarily occupied in Donetsk and Luhansk Oblasts” was issued under Article 1 of that Law on 7th February 2019. URL: https://zakon.rada.gov.ua/laws/show/32/2019 (in Ukrainian). A translation of these documents is available upon request from the Foreign, Commonwealth and Development Office.

Commencement Information

I2Reg. 2 in force at 11.4.2019, see reg. 1(3)(b)

Marginal Citations

M31979 c.2. Amendments have been made to this Act and are cited, where relevant, in respect of the applicable regulations.

M4OJ L 78, 17.3.2014, p. 6–15.

M5OJ L 183 24.6.2014, p. 9.

M6OJ L 229, 31.7.2014, p. 1–11.

M7S.I. 2014/693, as modified by the Wales Act 2014 (c.29), section 4(4)(a) and amended by S.I. 2017/560, S.I. 2017/754 and S.I. 2018/682 and as prospectively amended by S.I. 2018/1149.

M8S.I. 2014/2054, as amended by S.I. 2014/2445, S.I. 2014/3230, S.I. 2017/560, S.I. 2017/754, 2018/682 and as prospectively amended by S.I. 2018/1149.

Application of prohibitions and requirements outside the United KingdomU.K.

3.—(1) A United Kingdom person may contravene a relevant prohibition by conduct wholly or partly outside the United Kingdom.

(2) Any person may contravene a relevant prohibition by conduct in the territorial sea.

(3) In this regulation a “relevant prohibition” means any prohibition imposed—

(a)by regulation 9(2) [F5or 9B(2)] (confidential information),

(b)by Part 3 (Finance),

(c)by Part 5 (Trade),

[F6(d) under Part 6 (Ships),]

[F7(da)by regulation 57L(6) (disclosure of confidential information), or]

(e)by a condition of a Treasury licence or a trade licence.

(4) A United Kingdom person may comply, or fail to comply, with a relevant requirement by conduct wholly or partly outside the United Kingdom.

(5) Any person may comply, or fail to comply, with a relevant requirement [F8or a requirement imposed by a direction under regulation 57J(3) (direction by air traffic control to operator or pilot of Russian aircraft),] [F9or a requirement imposed by a condition of an aircraft licence,] by conduct in the territorial sea.

(6) In this regulation a “relevant requirement” means any requirement imposed—

(a)by or under Part 8 (Information and records), or by reason of a request made under a power conferred by [F10that Part,]

(b)by a condition of a Treasury licence or a [F11trade licence, or]

[F12(c)by a direction under regulation 57C (movement of ships).]

(7) Nothing in this regulation is to be taken to prevent a relevant prohibition or a relevant requirement from applying to conduct (by any person) in the United Kingdom.

Textual Amendments

Commencement Information

I3Reg. 3 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

PurposesU.K.

4.  The regulations contained in this instrument that are made under section 1 of the Act are for the purposes of encouraging Russia to cease actions destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine.

Commencement Information

I4Reg. 4 in force at 11.4.2019, see reg. 1(3)(c)

PART 2U.K.Designation of persons

Power to designate personsU.K.

5.—(1) The Secretary of State may designate persons by name for the purposes of any of the following—

(a)regulations 11 to 15 (asset-freeze etc.);

[F13(aa)regulation 17A (correspondent banking relationships etc.);]

(b)regulation 20 [F14(immigration);]

[F15(bza)regulation 46A (technical assistance relating to aircraft and ships);]

[F16(bzb)regulation 54A (internet services);]

[F17(ba)regulations 57A and 57C to 57E [F18(ships: prohibition on port entry etc.);]]

[F19(bb)regulations 57J and 57M (aircraft).]

[F20(1A) The Secretary of State may provide that persons of a description specified by the Secretary of State are designated persons for the purposes of any of the following—

(a)regulations 11 to 15 (asset-freeze etc.);

(b)regulation 17A (correspondent banking relationships etc.);

(c)regulation 20 (immigration);

(d)regulation 46A (technical assistance relating to aircraft and ships);

[F21(da)regulation 54A (internet services);]

(e)regulations 57A and 57C to 57E (ships: prohibition on port entry etc.);

(f)regulations 57J and 57M (aircraft).]

(2) The Secretary of State may designate different persons for the purposes of different provisions mentioned in paragraph (1) [F22or (1A)].

[F23(3) For the purposes of these Regulations, persons “designated under regulation 5” for the purpose of a particular regulation means—

(a)persons who are designated by name under paragraph (1) for the purposes of that particular regulation, and

(b)where the Secretary of State makes provision under paragraph (1A) that persons of a specified description are designated persons for the purposes of that particular regulation, persons of that description.]

Textual Amendments

Commencement Information

I5Reg. 5 in force at 11.4.2019, see reg. 1(3)(d)

Designation criteriaU.K.

[F246.—(1) The Secretary of State may not designate a person under regulation 5 (power to designate persons) unless the Secretary of State—

(a)has reasonable grounds to suspect that that person is an involved person, and

(b)considers that the designation of that person is appropriate, having regard to—

(i)the purposes stated in regulation 4 (purposes), and

(ii)the likely significant effects of the designation on that person (as they appear to the Secretary of State to be on the basis of the information that the Secretary of State has).

(2) In this regulation, an “involved person” means a person who—

(a)is or has been involved in—

(i)destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine, or

(ii)obtaining a benefit from or supporting the Government of Russia,

(b)is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person who is or has been so involved,

(c)is acting on behalf of or at the direction of a person who is or has been so involved, or

(d)is a member of, or associated with, a person who is or has been so involved.

(3) For the purposes of this regulation, a person is “involved in destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine” if—

(a)the person is responsible for, engages in, provides support for, or promotes any policy or action which destabilises Ukraine or undermines or threatens the territorial integrity, sovereignty or independence of Ukraine;

(b)the person provides financial services, or makes available funds, economic resources, goods or technology, that could contribute to destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine;

(c)the person provides financial services, or makes available funds, economic resources, goods or technology, to—

(i)a person who is responsible for a policy or action which falls within sub-paragraph (a), or

(ii)a person who provides financial services, or makes available funds, economic resources, goods or technology, as mentioned in sub-paragraph (b);

(d)the person obstructs the work of international organisations in Ukraine;

(e)the person conducts business with a separatist group in the Donbas region;

(f)the person is a relevant person trading or operating in [F25non-government controlled Ukrainian territory];

(g)the person assists the contravention or circumvention of a relevant provision.

(4) For the purposes of this regulation, being “involved in obtaining a benefit from or supporting the Government of Russia” means—

(a)carrying on business as a Government of Russia-affiliated entity;

(b)carrying on business of economic significance to the Government of Russia;

(c)carrying on business in a sector of strategic significance to the Government of Russia;

(d)owning or controlling directly or indirectly (within the meaning of regulation 7), or working as a director (whether executive or non-executive), trustee, [F26or other manager] or equivalent, of—

(i)a Government of Russia-affiliated entity;

(ii)a person, other than an individual, which falls within sub-paragraph (b) or (c) [F27;]

[F28(e)holding the right, directly or indirectly, to nominate at least one director (whether executive or non-executive), trustee or equivalent of—

(i)a Government of Russia-affiliated entity, or

(ii)a person, other than an individual, which falls within sub-paragraph (b) or (c).]

[F29(4A) For the purposes of this regulation, a person is involved in “destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine” or “obtaining a benefit from or supporting the Government of Russia” if they work for, or are affiliated to, the Government of Russia, as—

(a)an aide or adviser to the President of the Russian Federation,

(b)a head or deputy-head of any public body, federal agency or service subordinate to the President of the Russian Federation, including the Administration of the President of the Russian Federation,

(c)a member of the Security Council of the Russian Federation, its Secretary or any of its Deputy Secretaries,

(d)the Chairman of the Government of the Russian Federation or any deputy of the Chairman,

(e)a Minister or Deputy Minister of any Ministry of the Russian Federation,

(f)a Governor or member of the Board of Directors of the Central Bank of the Russian Federation,

(g)a Presidential Plenipotentiary Envoy to a Federal District, or a regional Governor or Deputy Governor or equivalent,

(h)a head or deputy head of any other public body or agency of the Government of the Russian Federation,

(i)a member of the armed forces or law-enforcement organs of the Russian Federation of the rank of colonel, or equivalent, or higher,

(j)a member of the Russian security and intelligence services of the rank of colonel, or equivalent, or higher,

(k)a vice president, or equivalent position or higher, of a Government of Russia-affiliated entity, or

(l)a director or manager, or equivalent position or higher, of a Government of Russia-affiliated entity.]

(5) In paragraph (3)(f), a person (“P”) is a “relevant person” if—

(a)P is not an individual, and

(b)the ownership or control of P has been transferred contrary to the law of Ukraine;

[F30(6) In paragraph (2)(d), being “associated with” a person includes—

(a)obtaining a financial benefit or other material benefit from that person;

(b)being an immediate family member of that person.]

(7) In this regulation—

“Government of Russia” means—

(a)

the Presidency of the Russian Federation;

(b)

public bodies and agencies subordinate to the President of the Russian Federation, including the Administration of the President of the Russian Federation;

(c)

the Chairman of the Government of the Russian Federation and the deputies of the Chairman of the Government;

(d)

any Ministry of the Russian Federation;

(e)

any other public body or agency of the Government of the Russian Federation, including the armed forces and law-enforcement organs of the Russian Federation;

(f)

the Central Bank of the Russian Federation;

“Government of Russia-affiliated entity” means a person, other than an individual—

(a)

which is owned or controlled directly or indirectly by the Government of Russia (within the meaning of regulation 7),

(b)

in which the Government of Russia holds directly or indirectly a minority interest,

(c)

which receives, or has received, financing, directly or indirectly, from the Russian Direct Investment Fund or the National Wealth Fund, or

(d)

which otherwise obtains a financial benefit or other material benefit from the Government of Russia;

[F31“immediate family member” means—

(a)

a wife or husband;

(b)

a civil partner;

(c)

a parent or step-parent;

(d)

a child or step-child;

(e)

a sibling or step-sibling;

(f)

a niece or nephew;

(g)

an aunt or uncle;

(h)

a grandparent;

(i)

a grandchild.]

“minority interest” means any shareholding, voting right or right to appoint or remove members of the board of directors which does not meet the condition set out in regulation 7(2);

“relevant provision” means—

(a)

any provision of Part 3 (Finance) or Part 5 (Trade);

(b)

any provision of the law of a country other than the United Kingdom made for purposes corresponding to a purpose of any provision of Part 3 or Part 5;

“sector of strategic significance to the Government of Russia” means—

(a)

the Russian chemicals sector;

(b)

the Russian construction sector;

(c)

the Russian defence sector;

(d)

the Russian electronics sector;

(e)

the Russian energy sector;

(f)

the Russian extractives sector;

(g)

the Russian financial services sector.

(h)

the Russian information, communications and digital technologies sector;

(i)

the Russian transport sector.

(8) Nothing in any sub-paragraph of paragraph (3) or (4) is to be taken to limit the meaning of any of the other sub-paragraphs of that paragraph.]

Textual Amendments

[F32Conditions for the designation of persons by descriptionU.K.

6A.—(1) The Secretary of State may choose whether persons mentioned in regulation 5(1A) (power to designate persons by description) are designated persons under—

(a)the standard procedure, or

(b)the urgent procedure.

(2) Paragraph (3) applies where the Secretary of State chooses that persons mentioned in regulation 5(1A) are designated persons under the standard procedure.

(3) The Secretary of State may not provide that persons of a specified description are designated persons under regulation 5(1A) except where conditions A and C are met.

(4) Paragraphs (5) to (7) apply where the Secretary of State chooses that persons mentioned in regulation 5(1A) are designated persons under the urgent procedure.

(5) The Secretary of State may provide that persons of a specified description are designated persons where condition C is not met, but conditions A, D and E are met.

(6) The persons of the specified description cease to be designated persons at the end of the period of 56 days beginning with the day following the day on which the persons became designated persons unless, within that period, the Secretary of State certifies that—

(a)conditions A and C are met, or

(b)conditions A, D and E continue to be met.

(7) Where the Secretary of State makes a certification under paragraph (6)(b), the designation ceases to have effect at the end of the period of 56 days beginning with the day immediately following the period mentioned in paragraph (6), unless within that period the Secretary of State certifies that conditions A and C are met.

(8) Condition A is that the description of persons specified is such that a reasonable person would know whether that person fell within it.

(9) Condition C is that the Secretary of State has reasonable grounds to suspect—

(a)in a case where the specified description is members of a particular organisation, that the organisation is an involved person, or

(b)in the case of any other specified description, that any person falling within that description would necessarily be an involved person.

(10) Condition D is that the description of persons specified is of persons (or some persons) to which, or in relation to which, relevant provision (whenever made) applies under the law of—

(a)the United States of America;

(b)the European Union;

(c)Australia;

(d)Canada.

(11) Condition E is that the Secretary of State considers that it is in the public interest to provide that persons of a specified description are designated persons under the urgent procedure.

(12) For the purposes of Condition D, “relevant provision” is provision that the Secretary of State considers—

(a)corresponds, or is similar, to the type of sanction or sanctions in these Regulations, or

(b)is made for purposes corresponding, or similar, to any purpose of any type of sanction or sanctions in these Regulations.

(13) In this regulation—

“involved person” has the meaning given in regulation 6 (designation criteria);

“organisation” includes any body, association or combination of persons.]

Textual Amendments

Meaning of “owned or controlled directly or indirectly”U.K.

7.—(1) A person who is not an individual (“C”) is “owned or controlled directly or indirectly” by another person (“P”) if either of the following two conditions is met (or both are met).

(2) The first condition is that P—

(a)holds directly or indirectly more than 50% of the shares in C,

(b)holds directly or indirectly more than 50% of the voting rights in C, or

(c)holds the right directly or indirectly to appoint or remove a majority of the board of directors of C.

(3) Schedule 1 contains provision applying for the purpose of interpreting paragraph (2).

(4) The second condition is that it is reasonable, having regard to all the circumstances, to expect that P would (if P chose to) be able, in most cases or in significant respects, by whatever means and whether directly or indirectly, to achieve the result that affairs of C are conducted in accordance with P's wishes.

Commencement Information

I6Reg. 7 in force at 11.4.2019, see reg. 1(3)(d)

Notification and publicity where designation power usedU.K.

8.—(1) Paragraph (2) applies where the Secretary of State—

(a)has made a designation under [F33regulation 5(1)], or

(b)has by virtue of section 22 of the Act varied or revoked a designation made under [F34that paragraph of that regulation].

(2) The Secretary of State—

(a)must without delay take such steps as are reasonably practicable to inform the designated person of the designation, variation or revocation, and

(b)must take steps to publicise the designation, variation or revocation.

(3) The information given under paragraph (2)(a) where a designation is made must include a statement of reasons.

(4) In this regulation a “statement of reasons”, in relation to a designation, means a brief statement of the matters that the Secretary of State knows, or has reasonable grounds to suspect, in relation to the designated person which have led the Secretary of State to make the designation.

(5) Matters that would otherwise be required by paragraph (4) to be included in a statement of reasons may be excluded from it where the Secretary of State considers that they should be excluded—

(a)in the interests of national security or international relations,

(b)for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

(c)in the interests of justice.

(6) The steps taken under paragraph (2)(b) must—

(a)unless one or more of the restricted publicity conditions is met, be steps to publicise generally—

(i)the designation, variation or revocation, and

(ii)in the case of a designation, the statement of reasons;

(b)if one or more of those conditions is met, be steps to inform only such persons as the Secretary of State considers appropriate of the designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons.

(7) The “restricted publicity conditions” are as follows—

(a)the designation is of a person believed by the Secretary of State to be an individual under the age of 18;

(b)the Secretary of State considers that disclosure of the designation, variation or revocation should be restricted—

(i)in the interests of national security or international relations,

(ii)for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

(iii)in the interests of justice.

(8) Paragraph (9) applies if—

(a)when a designation is made one or more of the restricted publicity conditions is met, but

(b)at any time when the designation has effect, it becomes the case that none of the restricted publicity conditions is met.

(9) The Secretary of State must—

(a)take such steps as are reasonably practicable to inform the designated person that none of the restricted publicity conditions is now met, and

(b)take steps to publicise generally the designation and the statement of reasons relating to it.

Textual Amendments

Commencement Information

I7Reg. 8 in force at 11.4.2019, see reg. 1(3)(d)

Confidential information in certain cases where designation power usedU.K.

9.—(1) Where the Secretary of State in accordance with regulation 8(6)(b) informs only certain persons of a designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons, the Secretary of State may specify that any of that information is to be treated as confidential.

(2) A person (“P”) who—

(a)is provided with information that is to be treated as confidential in accordance with paragraph (1), or

(b)otherwise obtains such information,

must not, subject to paragraph (3), disclose it if P knows, or has reasonable cause to suspect, that the information is to be treated as confidential.

(3) The prohibition in paragraph (2) does not apply to any disclosure made by P with lawful authority.

(4) For this purpose information is disclosed with lawful authority only if and to the extent that—

(a)the disclosure is by, or is authorised by, the Secretary of State,

(b)the disclosure is by or with the consent of the person who is or was the subject of the designation,

(c)the disclosure is necessary to give effect to a requirement imposed under or by virtue of these Regulations or any other enactment, or

(d)the disclosure is required, under rules of court, tribunal rules or a court or tribunal order, for the purposes of legal proceedings of any description.

(5) This regulation does not prevent the disclosure of information that is already, or has previously been, available to the public from other sources.

(6) A person who contravenes the prohibition in paragraph (2) commits an offence.

(7) The High Court (in Scotland, the Court of Session) may, on the application of—

(a)the person who is the subject of the information, or

(b)the Secretary of State,

grant an injunction (in Scotland, an interdict) to prevent a breach of the prohibition in paragraph (2).

(8) In paragraph (4)(c), “enactment” has the meaning given by section 54(6) of the Act.

Commencement Information

I8Reg. 9 in force at 11.4.2019, see reg. 1(3)(d)

[F35Notification and publicity where power to designate by description is usedU.K.

9A.—(1) Paragraph (2) applies where the Secretary of State—

(a)has provided that persons of a specified description are designated persons under regulation 5(1A) (power to designate persons by description), or

(b)has by virtue of section 22 of the Act varied or revoked a designation made under that paragraph of that regulation.

(2) The Secretary of State—

(a)must without delay take such steps as are reasonably practicable to inform persons of the specified description of the designation, variation or revocation, and

(b)must take steps to publicise the designation, variation or revocation.

(3) The information given under paragraph (2)(a)—

(a)where the Secretary of State provides that persons of a specified description are designated persons under the standard procedure, must include a statement of reasons, or

(b)where the Secretary of State provides that persons of a specified description are designated persons under the urgent procedure, must include a statement—

(i)that the provision is made under the urgent procedure,

(ii)identifying the relevant provision by reference to which the Secretary of State considers that condition D is met in relation to persons of the specified description, and

(iii)setting out why the Secretary of State considers that condition E is met.

(4) Where the Secretary of State provides that persons of a specified description are designated persons under the urgent procedure, the Secretary of State must, after the end of the period mentioned in paragraph (6) of regulation 6A (conditions for the designation of persons by description), or if the Secretary of State has made a certification under paragraph (6)(b) of that regulation the period mentioned in paragraph (7) of that regulation, but otherwise without delay—

(a)in a case where the persons cease to be designated persons, take such steps as are reasonably practicable to inform persons of the specified description that they have ceased to be designated persons, or

(b)in any other case, take such steps as are reasonably practicable to give each person of the specified description a statement of reasons.

(5) In this regulation, a “statement of reasons”, in relation to a provision designating persons of a specified description, means a brief statement of the matters that the Secretary of State knows, or has reasonable cause to suspect, in relation to persons of the specified description—

(a)in the case of a designation under the standard procedure, which have led the Secretary of State to make the provision designating persons of that description, and

(b)in the case of a designation under the urgent procedure, as a result of which the persons do not cease to be designated persons at the end of the period mentioned in regulation 6A(6)(b) or (7) (as the case may be).

(6) Matters that would otherwise be required by paragraph (5) to be included in a statement of reasons may be excluded from it where the Secretary of State considers that they should be excluded—

(a)in the interests of national security or international relations,

(b)for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

(c)in the interests of justice.

(7) The steps taken under paragraph (2)(b) must—

(a)unless one or more of the restricted publicity conditions is met, be steps to publicise generally—

(i)the designation, variation or revocation, and

(ii)in the case of—

(aa)a designation under the standard procedure, the statement of reasons relating to it, or

(bb)a designation under the urgent procedure, the contents of the statement required under paragraph (3)(b) relating to it;

(b)if one or more of those conditions is met, be steps to inform only such persons as the Secretary of State considers appropriate of the designation, variation or revocation and—

(i)in the case of a designation under the standard procedure, of the contents of the statement of reasons relating to it, or

(ii)in the case of a designation under the urgent procedure, of the contents of the statement required under paragraph (3)(b) relating to it.

(8) The “restricted publicity conditions” are that the Secretary of State considers that disclosure of the designation, variation or revocation should be restricted—

(a)in the interests of national security or international relations,

(b)for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

(c)in the interests of justice.

(9) Paragraph (10) applies if—

(a)when a designation is made one or more of the restricted publicity conditions is met, but

(b)at any time when the designation has effect, it becomes the case that none of the restricted publicity conditions is met.

(10) The Secretary of State must—

(a)take such steps as are reasonably practicable to inform persons of the specified description that none of the restricted publicity conditions is now met, and

(b)take steps to publicise generally the designation and—

(i)in the case of a designation under the standard procedure, the statement of reasons relating to it, or

(ii)in the case of a designation under the urgent procedure, the statement required under paragraph (3)(b) relating to it.

Textual Amendments

Confidential information in certain cases where power to designate by description is usedU.K.

9B.—(1) Where the Secretary of State in accordance with regulation 9A(7)(b) informs only certain persons of a designation, variation or revocation and—

(a)in the case of a designation under the standard procedure, of the content of the statement of reasons relating to it, or

(b)in the case of a designation under the urgent procedure, of the content of the statement required under regulation 9A(3)(b) relating to it,

the Secretary of State may specify that any of that information is to be treated as confidential.

(2) A person (“P”) who—

(a)is provided with information that is to be treated as confidential in accordance with paragraph (1), or

(b)otherwise obtains such information,

must not, subject to paragraph (3), disclose it if P knows, or has reasonable cause to suspect, that the information is to be treated as confidential.

(3) The prohibition in paragraph (2) does not apply to any disclosure made by P with lawful authority.

(4) For this purpose information is disclosed with lawful authority only if and to the extent that—

(a)the disclosure is by, or is authorised by, the Secretary of State,

(b)the disclosure is by or with the consent of the person who is or was the subject of the designation,

(c)the disclosure is necessary to give effect to a requirement imposed under or by virtue of these Regulations or any other enactment, or

(d)the disclosure is required under rules of court, tribunal rules or a court or tribunal order, for the purposes of legal proceedings of any description.

(5) This regulation does not prevent the disclosure of information that is already, or has previously been, available to the public from other sources.

(6) A person who contravenes the prohibition in paragraph (2) commits an offence.

(7) The High Court (in Scotland, the Court of Session) may, on the application of—

(a)the person who is the subject of the information, or

(b)the Secretary of State,

grant an injunction (in Scotland, an interdict) to prevent a breach of the prohibition in paragraph (2).

(8) In paragraph (4)(c), “enactment” has the meaning given by section 54(6) of the Act.]

Textual Amendments

PART 3U.K.Finance

CHAPTER 1U.K. [F36Asset-freeze etc.]

Textual Amendments

Meaning of “designated person”U.K.

10.  In this Chapter a “designated person” means a person who is designated under regulation 5 for the purposes of regulations 11 to 15.

Commencement Information

I9Reg. 10 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Asset-freeze in relation to designated personsU.K.

11.—(1) A person (“P”) must not deal with funds or economic resources owned, held or controlled by a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) For the purposes of paragraph (1) a person “deals with” funds if the person—

(a)uses, alters, moves, transfers or allows access to the funds,

(b)deals with the funds in any other way that would result in any change in volume, amount, location, ownership, possession, character or destination, or

(c)makes any other change, including portfolio management, that would enable use of the funds.

(5) For the purposes of paragraph (1) a person “deals with” economic resources if the person—

(a)exchanges the economic resources for funds, goods or services, or

(b)uses the economic resources in exchange for funds, goods or services (whether by pledging them as security or otherwise).

(6) The reference in paragraph (1) to funds or economic resources that are “owned, held or controlled” by a person includes, in particular, a reference to—

(a)funds or economic resources in which the person has any legal or equitable interest, regardless of whether the interest is held jointly with any other person and regardless of whether any other person holds an interest in the funds or economic resources;

(b)any tangible property (other than real property), or bearer security, that is comprised in funds or economic resources and is in the possession of the person.

(7) For the purposes of paragraph (1) funds or economic resources are to be treated as owned, held or controlled by a designated person if they are owned, held or controlled by a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

(8) For the avoidance of doubt, the reference in paragraph (1) to a designated person includes P if P is a designated person.

Commencement Information

I10Reg. 11 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Making funds available to designated personU.K.

12.—(1) A person (“P”) must not make funds available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) The reference in paragraph (1) to making funds available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

Commencement Information

I11Reg. 12 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Making funds available for benefit of designated personU.K.

13.—(1) A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) For the purposes of this regulation—

(a)funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and

(b)“financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

Commencement Information

I12Reg. 13 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Making economic resources available to designated personU.K.

14.—(1) A person (“P”) must not make economic resources available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect—

(a)that P is making the economic resources so available, and

(b)that the designated person would be likely to exchange the economic resources for, or use them in exchange for, funds, goods or services.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) The reference in paragraph (1) to making economic resources available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

Commencement Information

I13Reg. 14 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Making economic resources available for benefit of designated personU.K.

15.—(1) A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) For the purposes of paragraph (1)—

(a)economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and

(b)“financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

Commencement Information

I14Reg. 15 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

CHAPTER 2U.K.Other financial and investment restrictions

Dealing with transferable securities or money-market instrumentsU.K.

16.—(1) A person (“P”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (2) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.

(2) A transferable security or money-market instrument falls within this paragraph if it has a maturity exceeding 30 days and is issued after 1 August 2014 by—

(a)a person mentioned in any of paragraphs 1 to 5 of Schedule 2;

(b)a person, other than an individual, which is—

(i)incorporated or constituted under the law of a non-UK country, and

(ii)owned by a person within sub-paragraph (a); or

(c)a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a) or sub-paragraph (b).

(3) A person (“P”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.

(4) A transferable security or money-market instrument falls within this paragraph if it has a maturity exceeding 30 days and is issued after 12 September 2014 by—

(a)a person mentioned in any of paragraphs 6 to 11 of Schedule 2;

(b)a person, other than an individual, which is—

(i)incorporated or constituted under the law of a non-UK country, and

(ii)owned by a person within sub-paragraph (a); or

(c)a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a) or sub-paragraph (b).

[F37(4A) A person (“P”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4B) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.

(4B) A transferable security or money-market instrument falls within this paragraph if it has a maturity exceeding 30 days and is issued on or after 1st March 2022 by—

(a)a person, other than an individual, which is—

(i)incorporated or constituted under the law of any part of the United Kingdom, and

(ii)owned by a person falling within Schedule 2; or

(b)a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a).

(4C) A person (“P”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4D) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.

(4D) A transferable security or money-market instrument falls within this paragraph if it is issued on or after 1st March 2022 by—

(a)a person connected with Russia, which is not—

(i)a person falling within Schedule 2,

(ii)a person, other than an individual, which on 1st March 2022 is domiciled in a country other than Russia, or

(iii)a person, other than an individual, which on 1st March 2022 is a branch or subsidiary, wherever located, of a person mentioned in paragraph (ii);

(b)a person, other than an individual, which is owned by a person falling within sub-paragraph (a); or

(c)a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a) or sub-paragraph (b).

(4E) A person (“P”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4F) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.

(4F) A transferable security or money-market instrument falls within this paragraph if it is issued on or after 1st March 2022 by, or on behalf of, the Government of Russia.]

[F38(5) Paragraphs (1), (3), (4A), (4C) and (4E) are subject to Part 7 (Exceptions and licences).]

(6) A person who contravenes a prohibition in paragraph [F39(1), (3), (4A), (4C) and (4E)] commits an offence.

(7) For the purposes of this regulation, and regulations 17 (loans and credit arrangements) [F40, 59 (exceptions relating to loans and credit arrangements) and 60ZZA (exceptions relating to investments in relation to Russia)], a person (“C”) is “owned” by another person (“P”) if P—

(a)holds directly or indirectly more than 50% of the shares in C, or

(b)holds directly or indirectly more than 50% of the voting rights in C.

(8) Schedule 1 applies for the purpose of interpreting paragraph (7).

(9) For the purposes of this regulation, a reference to “dealing with” a transferable security or money-market instrument includes a reference to purchasing or selling the security or instrument, providing investment services relating to the security or instrument or assisting in the issuance of the security or instrument.

(10) In this regulation—

“investment services” means—

(a)

the reception and transmission of orders in relation to one or more financial instruments,

(b)

the execution of orders on behalf of clients,

(c)

dealing on own account,

(d)

portfolio management,

(e)

the provision of investment advice,

(f)

the underwriting of financial instruments or placing of financial instruments on a firm commitment basis,

(g)

the placing of financial instruments without a firm commitment basis, or

(h)

any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;

“money-market instrument” means an instrument of a kind normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers, excluding instruments of payment;

“non-UK country” means a country that is not the United Kingdom;

“transferable security” means a security, negotiable on the capital market, of any of the following kinds, but excluding instruments of payment—

(a)

shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares;

(b)

bonds or other forms of securitised debt, including depositary receipts in respect of such securities;

(c)

any other securities giving the right to purchase or sell any security of a kind mentioned in paragraph (a) or (b).

Textual Amendments

Commencement Information

I15Reg. 16 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Loans and credit arrangementsU.K.

17.—(1) A person (“P”) must not directly or indirectly grant a relevant loan if P knows, or has reasonable cause to suspect, that P is granting a relevant loan.

(2) A person must not directly or indirectly enter into any arrangement to grant a relevant loan if the person knows, or has reasonable cause to suspect, that the arrangement relates to a relevant loan.

(3) Paragraphs (1) and (2) are subject to [F41Part 7 (Exceptions and licences)].

(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.

(5) In this regulation—

[F42“category 1 loan” means a loan or credit—

(a)

with a maturity exceeding 30 days,

(b)

made or granted to—

(i)

a person falling within Schedule 2,

(ii)

a person, other than an individual, which is—

(aa)

incorporated or constituted under the law of a non-UK country, and

(bb)

owned (within the meaning of regulation 16(7)) by a person within paragraph (i), or

(iii)

a person, other than an individual, acting on behalf or at the direction of a person within paragraph (i) or paragraph (ii), and

(c)

which is first made or granted at any time after IP completion day;

“category 2 loan” means a loan or credit—

(a)

with a maturity exceeding 30 days,

(b)

made or granted to a person, other than an individual, which is—

(i)

incorporated or constituted under the law of any part of the United Kingdom, and

(ii)

owned (within the meaning of regulation 16(7)) by a person falling within Schedule 2, and

(c)

which is first made or granted at any time on or after 1st March 2022;

“category 3 loan” means a loan or credit—

(a)

with a maturity exceeding 30 days,

(b)

made or granted to a person, other than an individual, which is—

(i)

connected with Russia,

(ii)

owned (within the meaning of regulation 16(7)) by a person within sub-paragraph (i), or

(iii)

a person, other than an individual, acting on behalf or at the direction of a person within paragraph (i) or paragraph (ii),

(c)

which is first made or granted at any time on or after 1st March 2022, and

(d)

which is not—

(i)

a category 1 loan, a category 2 loan or a category 4 loan, or

(ii)

a loan made or granted to—

(aa)

a person, other than an individual, which on 1st March 2022 is domiciled in a country other than Russia,

(bb)

a person, other than an individual, which is owned by a person falling within sub-paragraph (aa), or

(cc)

a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (aa) or sub-paragraph (bb);

“category 4 loan” means a loan or credit—

(a)

made or granted to the Government of Russia,

(b)

which is first made or granted at any time on or after 1st March 2022;]

“non-UK country” means a country that is not the United Kingdom;

[F43“relevant loan” means a category 1 loan, a category 2 loan, a category 3 loan or a category 4 loan;]

F44...

Textual Amendments

Commencement Information

I16Reg. 17 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F45Correspondent banking relationships etc.U.K.

17A.—(1) A UK credit or financial institution (“C”) (“the correspondent”) must not establish or continue a correspondent banking relationship with the following (“the respondent”)—

(a)a designated person (“D”),

(b)a UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D, or

(c)a non-UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D,

if C knows, or has reasonable cause to suspect, that the correspondent banking relationship is with a designated person.

(2) C must not process a sterling payment to, from or via –

(a)D,

(b)a UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D, or

(c)a non-UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D,

if C knows, or has reasonable cause to suspect, that the sterling payment is to, from or via such a person.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.

(5) For the purposes of this regulation, a reference to ‘processing’ a sterling payment includes the clearing and settlement of such a payment.

(6) In this regulation—

“correspondent banking relationship” means the provision of banking services by a correspondent to a respondent including providing a current or other liability account and related services, such as cash management, international funds transfers, cheque clearing, providing customers of the respondent with direct access to accounts with the correspondent (and vice versa) and providing foreign exchange services;

“designated person” means a person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation;

“non-UK credit or financial institution” means—

(a)

a person, other than an individual, which would satisfy the threshold conditions for permission under Part 4A of the Financial Services and Markets Act 2000 if it had its registered office (or if it does not have one, its head office) in the United Kingdom, or

(b)

an undertaking, other than a UK credit or financial institution, which by way of business—

(i)

operates a currency exchange office,

(ii)

transmits money (or any representation of monetary value) by any means, or

(iii)

cashes cheques that are made payable to customers;

“UK credit or financial institution” means—

(a)

a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (permission to carry on regulated activities), or

(b)

an undertaking domiciled in the United Kingdom which by way of business—

(i)

operates a currency exchange office,

(ii)

transmits money (or any representation of monetary value) by any means, or

(iii)

cashes cheques that are made payable to customers.]

Textual Amendments

Investments in relation to [F46non-government controlled Ukrainian territory] U.K.

18.—(1) A person (“P”) must not carry on an activity mentioned in paragraph (2) if P knows, or has reasonable cause to suspect, that P is carrying on such an activity.

(2) The activities in this paragraph are—

(a)directly or indirectly acquiring or extending a participation, or acquiring any ownership interest, in land located in [F47non-government controlled Ukrainian territory];

(b)directly or indirectly acquiring or extending a participation, or acquiring any ownership interest in or control over, a relevant entity;

(c)directly or indirectly granting any loan or credit, entering into any arrangement to grant any loan or credit, or otherwise providing funds, including for example equity capital—

(i)to a relevant entity, or

(ii)for the documented purpose of financing any such entity;

(d)directly or indirectly establishing any joint venture—

(i)in [F47non-government controlled Ukrainian territory], or

(ii)with a relevant entity;

(e)providing investment services directly related to an activity referred to in sub-paragraphs (a) to (d) above.

(3) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (1) commits an offence.

(5) In this regulation—

“investment services” has the same meaning as it has in regulation 16;

“relevant entity” means a person, other than an individual, which has a place of business located in [F48non-government controlled Ukrainian territory].

Textual Amendments

Commencement Information

I17Reg. 18 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F49Provision of financial services relating to foreign exchange reserve and asset managementU.K.

18A.—(1) A person (“P”) must not provide financial services to a person mentioned in paragraph (2) where—

(a)the financial services are for the purpose of foreign exchange reserve and asset management; and

(b)P knows, or has reasonable cause to suspect, that the financial services are provided to such a person.

(2) The persons mentioned in this paragraph are—

(a)the Central Bank of the Russian Federation,

(b)the National Wealth Fund of the Russian Federation,

(c)the Ministry of Finance of the Russian Federation,

(d)a person owned or controlled directly or indirectly (within the meaning of regulation 7) by a person mentioned in sub-paragraphs (a) to (c), or

(e)a person acting on behalf of or at the direction of a person mentioned in sub-paragraphs (a) to (c).

(3) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(4) A person who contravenes the prohibition in paragraph (1) commits an offence.]

Textual Amendments

[F50Investments in relation to RussiaU.K.

18B.—(1) A person (“P”) must not carry on an activity mentioned in paragraph (2) if P knows, or has reasonable cause to suspect, that P is carrying on such an activity.

(2) The activities in this paragraph are—

(a)directly acquiring any ownership interest in land located in Russia;

(b)indirectly acquiring any ownership interest in land located in Russia for the purpose mentioned in paragraph (3);

(c)directly acquiring any ownership interest in or control over a person, other than an individual, connected with Russia;

(d)indirectly acquiring any ownership interest in or control over a person, other than an individual, connected with Russia for the purpose mentioned in paragraph (3);

(e)directly or indirectly acquiring any ownership interest in or control over a relevant entity for the purpose mentioned in paragraph (3);

(f)directly or indirectly establishing any joint venture with a person connected with Russia;

(g)opening a representative office or establishing a branch or subsidiary located in Russia; or

(h)providing investment services directly related to an activity referred to in sub-paragraphs (a) to (g).

(3) The purpose mentioned in paragraph 2(b), (d) and (e) above is making funds or economic resources available—

(a)directly or indirectly to a person connected with Russia; or

(b)for the benefit of a person connected with Russia.

(4) For the purposes of paragraph (3)—

(a)economic resources are made available to a person connected with Russia only if that person would be likely to exchange the economic resources for, or use them in exchange for, funds, goods or services;

(b)making funds or economic resources indirectly available to a person connected with Russia includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person connected with Russia; and

(c)funds or economic resources are made available for the benefit of a person connected with Russia only if that person thereby obtains, or is able to obtain, a significant financial benefit, and “financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the person connected with Russia is wholly or partly responsible.

(5) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(6) A person who contravenes a prohibition in paragraph (1) commits an offence.

(7) In this regulation, the reference to a person (“P”) directly or indirectly acquiring any ownership interest in or control over a person or entity means—

(a)P directly or indirectly acquiring any share in the person or entity;

(b)P directly or indirectly acquiring any voting rights in the person or entity;

(c)P directly or indirectly acquiring any right to appoint or remove a majority of the board of directors of the person or entity; or

(d)P directly or indirectly acquiring any means of ensuring that the affairs of the person or entity are conducted in accordance with the wishes of P where it is reasonable, having regard to all of the circumstances, to expect that P would (if P chose to) in most cases or significant respects, by whatever means, be able to do so.

(8) In this regulation—

“branch” means, in relation to a person other than an individual, a place of business which forms a legally dependent part of that person and which carries out all or some of the transactions inherent in the business of that person;

“investment services” has the same meaning as it has in regulation 16 (dealing with transferable securities or money-market instruments);

“relevant entity” means a person, other than an individual, which has a place of business located in Russia but is not a person connected with Russia.]

Textual Amendments

CHAPTER 3U.K.Further provision

Circumventing etc. prohibitionsU.K.

19.—(1) A person must not intentionally participate in activities knowing that the object or effect of them is (whether directly or indirectly)—

(a)to circumvent any of the prohibitions in [F51regulations 11 to 18B], or

(b)to enable or facilitate the contravention of any such prohibition.

(2) A person who contravenes the prohibition in paragraph (1) commits an offence.

Textual Amendments

Commencement Information

I18Reg. 19 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F52Interpretation of Part 3U.K.

19A.—(1) In this Part—

“branch” means, in relation to a credit or financial institution, a place of business which forms a legally dependent part of that institution and which carries out all or some of the transactions inherent in the business of that institution;

“credit or financial institution” means a “UK credit or financial institution” or a “non-UK credit or financial institution;

[F53“foreign exchange reserve and asset management” means activities relating to the reserves or assets of the persons mentioned in paragraph (2) of regulation 18A, such reserves or assets to include the following—

(a)

money market instruments (including cheques, bills and certificates of deposit);

(b)

foreign exchange;

(c)

derivative products (including futures and options);

(d)

exchange rate and interest rate instruments (including products such as swaps and forward rate agreements);

(e)

transferable securities;

(f)

other negotiable instruments and financial assets (including bullion);

(g)

special drawing rights.]

“Government of Russia” has the same meaning as in regulation 6;

“subsidiary” has the meaning given by section 1159 of the Companies Act 2006;

(2) For the purposes of this Part, a person is to be regarded as “connected with” Russia if the person is—

(a)an individual who is, or an association or combination of individuals who are, ordinarily resident in Russia,

(b)an individual who is, or an association or combination of individuals who are, located in Russia,

(c)a person, other than an individual, which is incorporated or constituted under the law of Russia, or

(d)a person, other than an individual, which is domiciled in Russia.

(3) In this Part, the definitions of—

(a)“non-UK credit or financial institution”, and

(b)“UK credit or financial institution”,

[F54have the meaning given in regulation 17A (correspondent banking relationships etc.) and] are to be read with section 22 of the Financial Services and Markets Act 2000, any relevant order under that section and Schedule 2 to that Act.]

Textual Amendments

PART 4U.K.Immigration

ImmigrationU.K.

20.  A person who is designated under regulation 5 for the purposes of this regulation is an excluded person for the purposes of section 8B of the Immigration Act 1971 M9.

Commencement Information

I19Reg. 20 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

PART 5U.K.Trade

CHAPTER 1U.K.Interpretation

Interpretation of this PartU.K.

21.—(1) In this Part—

[F55“aviation and space goods” means—

(a)

any thing specified in Schedule 2C, other than any thing which is aviation and space technology, and

(b)

any tangible storage medium on which aviation and space technology is recorded or from which it can be derived;

“aviation and space technology” means any thing described in Schedule 2C as software or technology;]

“brokering service” means any service to secure, or otherwise in relation to, an arrangement, including (but not limited to)—

(a)

the selection or introduction of persons as parties or potential parties to the arrangement,

(b)

the negotiation of the arrangement,

(c)

the facilitation of anything that enables the arrangement to be entered into, and

(d)

the provision of any assistance that in any way promotes or facilitates the arrangement;

[F56“coal and coal products” means any thing specified in Schedule 3H;]

[F57“critical-industry goods” means—

(a)

any thing specified in Schedule 2A, other than—

(i)

any thing which is critical-industry technology, or

(ii)

any thing for the time being specified in—

(aa)

Schedule 2 or 3 to the Export Control Order 2008, F58...

(bb)

Annex I of the Dual-Use Regulation, [F59or]

(cc)

[F60Part 3 of Schedule 3C, and]

(b)

any tangible storage medium on which critical-industry technology is recorded or from which it can be derived;

“critical-industry technology” means any thing described in Schedule 2A as software or technology, other than any thing for the time being specified in—

(a)

Schedule 2 or 3 to the Export Control Order 2008, F61...

(b)

Annex I of the Dual-Use Regulation; [F62or]

(c)

[F63Part 3 of Schedule 3C,]]

[F64“defence and security goods” means—

(a)

interception and monitoring goods,

(b)

internal repression goods, and

(c)

goods relating to chemical and biological weapons;]

[F64“defence and security technology” means—

(a)

interception and monitoring technology,

(b)

internal repression technology, and

(c)

technology relating to chemical and biological weapons;]

“dual-use goods” means—

(a)

any thing for the time being specified in Annex I of the Dual-Use Regulation, other than any thing which is dual-use technology, and

(b)

any tangible storage medium on which dual-use technology is recorded or from which it can be derived;

“the Dual-Use Regulation” means Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items;

“dual-use technology” means any thing for the time being specified in Annex I of the Dual-Use Regulation which is described as software or technology;

“energy-related goods” means any thing falling within Part 2 of Schedule 3;

[F56“G7 dependency and further goods list goods” means any thing specified in Schedule 3E;]

[F56“gold” means the gold and products related to gold specified in Schedule 3G;]

[F64“goods relating to chemical and biological weapons” means—

(a)

any thing specified in Part 4 of Schedule 3C, other than technology relating to chemical and biological weapons (but see paragraph (4A)), and

(b)

any tangible storage medium on which technology relating to chemical and biological weapons is recorded or from which it can be derived;]

“infrastructure-related goods” means any thing falling within Part 3 of Schedule 3;

[F64“interception and monitoring goods” means any item mentioned in paragraph (a) or (b), provided that it may be used for interception and monitoring services—

(a)

a relevant Part 2 item,

(b)

any tangible storage medium on which interception and monitoring technology is recorded or from which it can be derived;]

[F64“interception and monitoring technology” means any thing—

(a)

which is described as software in paragraph 2 of Part 2 of Schedule 3C provided that it may be used for interception and monitoring services, and

(b)

which is described as other software or other technology in paragraph 3 of Part 2 of Schedule 3C (but see paragraph (4C));]

[F64“internal repression goods” means—

(a)

any thing specified in Part 3 of Schedule 3C, other than—

(i)

any thing which is internal repression technology,

(ii)

any thing for the time being specified in Schedule 2 to the Export Control Order 2008, or

(iii)

any thing for the time being specified in Annex Ⅰ of the Dual-Use Regulation, and

(b)

any tangible storage medium on which internal repression technology is recorded or from which it can be derived;]

[F64“internal repression technology” means any thing which is described in Part 3 of Schedule 3C as software or technology;]

[F65“luxury goods” means any thing specified in Schedule 3A, other than any thing for the time being specified in—

(a)

Schedules 2 or 3 to the Export Control Order 2008,

(b)

Annex 1 of the Dual-Use Regulation, or

(c)

Schedule 2A;]

[F64“maritime goods” and “maritime technology” mean respectively any goods and technology specified in Chapter 4 (Navigation Equipment) and Chapter 5 (Radio-Communication Equipment) of Annex 1 of the Merchant Shipping Notice 1874 but not including any thing in those Chapters for the time being specified in—

(a)

Schedules 2 and 3 to the Export Control Order 2008,

(b)

Annex I to the Dual Use Regulation, or

(c)

Schedule 2A;]

[F64“medical device” means—

(a)

a medical device within the meaning given in regulation 2 of the Medical Devices Regulations 2002 in so far as those Regulations apply to England, Wales and Scotland, and

(b)

a medical device within the meaning given in—

(i)

article 2 of Regulation (EU) 2017/745 of the European Parliament and of the Council of 5 April 2017 on medical devices, amending Directive 2001/83/EC, Regulation (EC) No 178/2002 and Regulation (EC) No 1223/2009 and repealing Council Directives 90/385/EEC and 93/42/EEC, and

(ii)

article 2 of Regulation (EU) 2017/746 of the European Parliament and of the Council of 5 April 2017 on in vitro diagnostic medical devices and repealing Directive 98/79/EC and Commission Decision 2010/227/EU,

in so far as those Regulations apply to Northern Ireland;]

“military goods” means—

(a)

any thing for the time being specified in Schedule 2 to the Export Control Order 2008 M10, other than any thing which is military technology, and

(b)

any tangible storage medium on which military technology is recorded or from which it can be derived;

“military technology” means any thing for the time being specified in Schedule 2 to the Export Control Order 2008 which is described as software or technology;

[F56“oil and oil products” means any thing specified in Schedule 3F;]

[F65“oil refining goods” means—

(a)

any thing specified in Schedule 2D, other than—

(i)

any thing which is oil refining technology, or

(ii)

any thing for the time being specified in—

(aa)

Schedule 3 to the Export Control Order 2008,

(bb)

Annex 1 of the Dual-Use Regulation,

(cc)

Schedule 2A, or

(dd)

Part 2 of Schedule 3, and

(b)

any tangible storage medium on which oil refining technology is recorded or from which it can be derived;]

[F65“oil refining technology” means any thing described in Schedule 2D as software or technology, other than any thing for the time being specified in —

(a)

Schedule 3 to the Export Control Order 2008,

(b)

Annex 1 of the Dual-Use Regulation, or

(c)

Schedule 2A;]

[F56“professional and business services” means the services described in regulation 54B;]

[F65“quantum computing and advanced materials goods” means—

(a)

any thing specified in Schedule 2E, other than—

(i)

any thing which is quantum computing and advanced materials technology, or

(ii)

any thing for the time being specified in—

(aa)

Schedule 2 or 3 to the Export Control Order 2008,

(bb)

Annex 1 of the Dual-Use Regulation,

(cc)

Schedule 2A,

(dd)

Schedule 2C,

(ee)

Schedule 2D, or

(ff)

Part 2 of Schedule 3, and

(b)

any tangible storage medium on which quantum computing and advanced materials technology is recorded or from which it can be derived;]

[F65“quantum computing and advanced materials technology” means any thing described in Schedule 2E as software or technology, other than anything for the time being specified in—

(a)

Schedule 2 or 3 to the Export Control Order 2008,

(b)

Annex 1 of the Dual-Use Regulation,

(c)

Schedule 2A,

(d)

Schedule 2C, or

(e)

Schedule 2D.]

[F66restricted goods” means—

(a)

critical-industry goods;

(b)

dual-use goods;

(c)

military goods;

(d)

[F67aviation and space goods;]

(e)

[F68oil refining goods;]

(f)

[F68quantum computing and advanced materials goods;]

(g)

[F69defence and security goods;

(h)

maritime goods;]

“restricted technology” means—

(a)

critical-industry technology;

(b)

dual-use technology;

(c)

military technology;

(d)

[F70aviation and space technology;]

(e)

[F71oil refining technology;]

(f)

[F71quantum computing and advanced materials technology;]]

(g)

[F72defence and security technology;

(h)

maritime technology;]

“technical assistance”, in relation to goods or technology, means—

(a)

technical support relating to the repair, development, production, assembly, testing, use or maintenance of the goods or technology, or

(b)

any other technical service relating to the goods or technology;

F73...

[F64“technology relating to chemical and biological weapons” means any thing specified as technology or software in Part 4 of Schedule 3C, other than technology which is—

(a)

the minimum necessary for—

(i)

the installation, operation, maintenance and repair of any goods which are not subject to a prohibition under this Part, or

(ii)

patent applications,

(b)

in the public domain,

(c)

a medical device, or

(d)

used for basic scientific research;]

“transfer” has the meaning given in paragraph 37 of Schedule 1 to the Act.

(2) For the purposes of this Part, a person is to be regarded as “connected with” Russia if the person is—

(a)an individual who is, or an association or combination of individuals who are, ordinarily resident in Russia,

(b)an individual who is, or an association or combination of individuals who are, located in Russia,

(c)a person, other than an individual, which is incorporated or constituted under the law of Russia, or

(d)a person, other than an individual, which is domiciled in Russia.

(3) For the purposes of this Part, a person is to be regarded as “connected with” [F74non-government controlled Ukrainian territory] if the person is—

(a)an individual who is, or an association or combination of individuals who are, ordinarily resident in [F74non-government controlled Ukrainian territory],

(b)an individual who is, or an association or combination of individuals who are, located in [F74non-government controlled Ukrainian territory], or

(c)a person, other than an individual, which has its registered office, central administration or principal place of business located in [F74non-government controlled Ukrainian territory].

(4) Paragraphs 32 to 36 of Schedule 1 to the Act (trade sanctions) apply for the purpose of interpreting expressions in this Part.

[F75(4A) The definition of “goods relating to chemical and biological weapons” does not apply to anything specified in Part 4 of Schedule 3C—

(a)which is—

(i)a pharmaceutical formulation designed for human administration in the treatment of a medical condition; and

(ii)pre-packaged for distribution as a medicinal product; or

(b)which is a medical device.

(4B) For the purpose of the definition of “interception and monitoring goods” in paragraph (1) “a relevant Part 2 item” means any thing described in Part 2 of Schedule 3C, other than—

(a)any thing which is interception and monitoring technology, or

(b)any thing for the time being specified in—

(i)Schedule 2 to the Export Control Order 2008, or

(ii)Annex Ⅰ of the Dual-Use Regulation.

(4C) The definition of “interception and monitoring technology” does not apply to software which is—

(a)generally available to the public, or

(b)in the public domain.

(4D) For the purposes of this Part, the following terms have the meaning given to them in the Dual-Use Regulation—

“basic scientific research”;

“in the public domain”.]

(5) In this Part, any reference to the United Kingdom includes a reference to the territorial sea.

Textual Amendments

F73Words in reg. 21(1) omitted (31.12.2020 immediately after IP completion day) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(3); S.I. 2020/1514, reg. 4

Commencement Information

I20Reg. 21 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M10S.I. 2008/3231. Schedule 2 was substituted by S.I. 2017/85 and subsequently amended by S.I 2017/697 and S.I. 2018/165. There are other instruments which amend other parts of the Order.

[F76Definition of interception and monitoring servicesU.K.

21A.—(1) For the purposes of this Part, “interception and monitoring services” means any service that has as its object or effect the interception of a communication in the course of its transmission by means of a telecommunication system.

(2) A person intercepts a communication in the course of its transmission by means of a telecommunication system if, and only if—

(a)the person does a relevant act in relation to the system; and

(b)the effect of the relevant act is to make any content of the communication available, at a relevant time, to a person who is not the sender or intended recipient of the communication.

(3) In paragraph (2) a “relevant act”, in relation to a telecommunication system, means—

(a)modifying, or interfering with, the system or its operation;

(b)monitoring transmissions made by means of the system;

(c)monitoring transmissions made by wireless telegraphy to or from apparatus that is part of the system.

(4) In paragraph (2), a “relevant time”, in relation to a communication transmitted by means of a telecommunication system, means—

(a)any time while the communication is being transmitted; and

(b)any time when the communication is stored in or by the system (whether before or after its transmission).

(5) For the purpose of paragraph (2), the cases in which any content of a communication is to be taken to be made available to a person at a relevant time include any case in which any of the communication is diverted or recorded at a relevant time so as to make the content of the communication available to a person after that time.

(6) In paragraph (3), references to modifying a telecommunication system include references to attaching any apparatus to, or otherwise modifying or interfering with—

(a)any part of the system; or

(b)any wireless telegraphy apparatus used for making transmissions to or from apparatus that is part of the system.

(7) For the purposes of this regulation, the following definitions also apply—

“apparatus” includes any equipment, machinery or device (whether physical or logical) and any wire or cable;

“communication”, for the purpose of a telecommunication system, includes—

(a)

anything comprising speech, music, sounds, visual images or data of any description; and

(b)

signals serving for the impartation of anything between persons, between a person and a thing or between things, for the actuation or control of any apparatus;

“content”, in relation to a communication and a telecommunication system, means any element of the communication, or any data attached to or logically associated with the communication, which reveals anything of what might reasonably be considered to be the meaning (if any) of the communication, but—

(a)

any meaning arising from the fact of the communication or from any data relating to the transmission of the communication is to be disregarded; and

(b)

anything which is systems data is not content;

“systems data” means any data that enables or facilitates, or identifies or describes anything connected with enabling or facilitating, the functioning of a telecommunication system (including any apparatus forming part of the system);

“a telecommunication system” means a system (including the apparatus comprised in it) that exists for the purpose of facilitating the transmission of communications by any means involving the use of electrical or electromagnetic energy;

“wireless telegraphy” and “wireless telegraphy apparatus” have the same meaning as in sections 116 and 117 of the Wireless Telegraphy Act 2006.]

Textual Amendments

CHAPTER 2U.K. [F77Restricted goods, restricted technology] and related activities

Textual Amendments

Export of [F78restricted goods] U.K.

22.—(1) The export of [F78restricted goods] to, or for use in, Russia is prohibited.

[F79(1A) The export of maritime goods for the placing on board of a Russian-flagged vessel is prohibited.]

(2) [F80Paragraphs (1) and (1A) are] subject to Part 7 (Exceptions and licences).

Textual Amendments

Commencement Information

I21Reg. 22 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Import of arms and related materielU.K.

23.—(1) The import of arms and related materiel which are consigned from Russia is prohibited.

(2) The import of arms and related materiel which originate in Russia is prohibited.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4) In this regulation “arms and related materiel” means—

(a)military goods, and

(b)any thing which falls within chapter 93 of the Goods Classification Table, other than military goods.

(5) For the purposes of the definition of “arms and related materiel”, whether a thing “falls within chapter 93 of the Goods Classification Table” is to be interpreted in accordance with paragraph 1 of Schedule 3.

Commencement Information

I22Reg. 23 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Supply and delivery of [F81restricted goods] U.K.

24.—(1) A person must not—

(a)directly or indirectly supply or deliver [F82restricted goods] from a third country to a place in Russia;

(b)directly or indirectly supply or deliver military goods from a place in Russia to a third country.

[F83(c)directly or indirectly supply or deliver maritime goods from a third country for the placing on board of a Russian-flagged vessel.]

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Russia, whether directly or indirectly.

[F84(c)it is a defence for a person charged with the offence of contravening paragraph (1)(c) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was for the placing on board of a Russian-flagged vessel, whether directly or indirectly.]

(4) In this regulation “third country” means a country that is not the United Kingdom, the Isle of Man or Russia.

Textual Amendments

Commencement Information

I23Reg. 24 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Making available or acquiring [F85restricted goods] and [F86restricted technology] U.K.

25.—(1) A person must not—

(a)directly or indirectly make [F87restricted goods] or [F88restricted technology] available to a person connected with Russia;

(b)directly or indirectly make [F89restricted goods] or [F90restricted technology] available for use in Russia;

(c)directly or indirectly acquire military goods or military technology from a person connected with Russia;

F91(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)directly or indirectly acquire military goods or military technology located in Russia.

[F92(f)directly or indirectly make maritime goods or maritime technology available for the placing on board of a Russian-flagged vessel.]

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a) or (c) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were for use in Russia;

F93(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)it is a defence for a person charged with the offence of contravening paragraph (1)(e) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were located in Russia.

[F94(e)it is a defence for a person charged with the offence of contravening paragraph (1)(f) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were to be made available for the placing on board of a Russian-flagged vessel.]

Textual Amendments

F91Reg. 25(1)(d) omitted (31.12.2020 immediately after IP completion day) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(4)(a); S.I. 2020/1514, reg. 4

F93Reg. 25(3)(c) omitted (31.12.2020 immediately after IP completion day) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(4)(b); S.I. 2020/1514, reg. 4

Commencement Information

I24Reg. 25 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Transfer of [F95restricted technology] U.K.

26.—(1) A person must not—

(a)transfer [F96restricted technology] to a place in Russia;

(b)transfer [F97restricted technology] to a person connected with Russia;

(c)transfer military technology to persons outside the United Kingdom or to a place outside the United Kingdom, where the transfer is from a place in Russia.

[F98(d)transfer maritime technology to a Russian-flagged vessel.]

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the transfer was to a place in Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(c)it is a defence for a person charged with the offence of contravening paragraph (1)(c) to show that the person did not know and had no reasonable cause to suspect that the transfer was from a place in Russia.

[F99(d)it is a defence for a person charged with the offence of contravening paragraph (1)(d) to show that the person did not know and had no reasonable cause to suspect that the transfer was to a Russian-flagged vessel.]

Textual Amendments

Commencement Information

I25Reg. 26 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Technical assistance relating to [F100restricted goods] and [F101restricted technology]U.K.

27.—(1) A person must not directly or indirectly provide technical assistance relating to [F100restricted goods] or [F101restricted technology]—

(a)to a person connected with Russia, or

(b)for use in Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were for use in Russia.

Textual Amendments

Commencement Information

I26Reg. 27 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Financial services and funds relating to [F100restricted goods] and [F101restricted technology]U.K.

28.—(1) A person must not directly or indirectly provide, to a person connected with Russia, financial services in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of [F100restricted goods],

(b)the direct or indirect supply or delivery of [F100restricted goods],

(c)directly or indirectly making [F100restricted goods] or [F101restricted technology] available to a person,

(d)the transfer of [F101restricted technology], or

(e)the direct or indirect provision of technical assistance relating to [F100restricted goods] or [F101restricted technology].

(2) A person must not directly or indirectly make funds available to a person connected with Russia in pursuance of or in connection with an arrangement mentioned in paragraph (1).

(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of [F100restricted goods] to, or for use in, Russia;

(b)the direct or indirect supply or delivery of [F100restricted goods] to a place in Russia;

(c)directly or indirectly making [F100restricted goods] or [F101restricted technology] available—

(i)to a person connected with Russia, or

(ii)for use in Russia;

(d)the transfer of [F101restricted technology]—

(i)to a person connected with Russia, or

(ii)to a place in Russia; or

(e)the direct or indirect provision of technical assistance relating to [F100restricted goods] or [F101restricted technology]—

(i)to a person connected with Russia, or

(ii)for use in Russia.

F102(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F103(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) Paragraphs (1) to [F104(3)] are subject to Part 7 (Exceptions and licences).

(7) A person who contravenes a prohibition in any of paragraphs (1) [F105to (3)] commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1) [F106or (2)] (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph [F107.]

F108(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F102Reg. 28(4) omitted (31.12.2020 immediately after IP completion day) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(5)(a); S.I. 2020/1514, reg. 4

F103Reg. 28(5) omitted (31.12.2020 immediately after IP completion day) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(5)(a); S.I. 2020/1514, reg. 4

F104Word in reg. 28(6) substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(5)(b); S.I. 2020/1514, reg. 4

F105Words in reg. 28(7) substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(5)(c)(i); S.I. 2020/1514, reg. 4

F106Words in reg. 28(7)(a) substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(5)(c)(ii); S.I. 2020/1514, reg. 4

F107Full stop in reg. 28(7)(b) substituted for semicolon (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(5)(c)(iii); S.I. 2020/1514, reg. 4

F108Reg. 28(7)(c) omitted (31.12.2020 immediately after IP completion day) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(5)(c)(iv); S.I. 2020/1514, reg. 4

Commencement Information

I27Reg. 28 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Brokering services: non-UK activity relating to [F100restricted goods] and [F101restricted technology]U.K.

29.—(1) A person must not directly or indirectly provide brokering services in relation to an arrangement (“arrangement A”) whose object or effect is—

(a)the direct or indirect supply or delivery of [F100restricted goods] from a third country to a place in Russia;

(b)directly or indirectly making [F100restricted goods] available in a third country for direct or indirect supply or delivery—

(i)to a person connected with Russia, or

(ii)to a place in Russia;

(c)directly or indirectly making [F101restricted technology] available in a third country for transfer—

(i)to a person connected with Russia, or

(ii)to a place in Russia;

(d)the transfer of [F101restricted technology] from a place in a third country—

(i)to a person connected with Russia, or

(ii)to a place in Russia;

(e)the direct or indirect provision, in a non-UK country, of technical assistance relating to [F100restricted goods] or [F101restricted technology]—

(i)to a person connected with Russia, or

(ii)for use in Russia;

(f)the direct or indirect provision, in a non-UK country, of financial services—

(i)to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 28(1), or

(ii)where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 28(3);

(g)directly or indirectly making funds available, in a non-UK country, to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 28(1); or

(h)the direct or indirect provision of funds from a non-UK country, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 28(3).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

(4) In this regulation—

“non-UK country” means a country that is not the United Kingdom;

“third country” means—

(a)

for the purposes of paragraph (1)(a) and (b), a country that is not the United Kingdom, the Isle of Man or Russia,

(b)

for the purposes of any other provision of paragraph (1), a country that is not the United Kingdom or Russia.

Textual Amendments

Commencement Information

I28Reg. 29 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F109Insurance and reinsurance services relating to aviation and space goods and aviation and space technologyU.K.

29A.—(1) A person must not directly or indirectly provide insurance or reinsurance services relating to aviation and space goods or aviation and space technology—

(a)to a person connected with Russia, or

(b)for use in Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were for use in Russia.]

Textual Amendments

Enabling or facilitating military activitiesU.K.

30.—(1) A person must not directly or indirectly provide—

(a)technical assistance,

(b)armed personnel,

(c)financial services or funds, or

(d)brokering services in relation to an arrangement whose object or effect is to provide, in a non-UK country, anything mentioned in sub-paragraphs (a) to (c),

where such provision enables or facilitates the conduct of military activities carried on or proposed to be carried on by the Russian military or any other military end-user who is a person connected with Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the provision as mentioned in paragraph (1) would enable or facilitate the conduct of military activities carried on or proposed to be carried on by the Russian military or any other military end-user who is a person connected with Russia.

(4) In this regulation—

“non-UK country” means a country that is not the United Kingdom;

“technical assistance” means the provision of technical support or any other technical service.

(5) Nothing in this regulation is to be taken to limit the meaning of any of the prohibitions contained in this Part.

Commencement Information

I29Reg. 30 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F110CHAPTER 2AU.K.Goods and technology relating to non-government controlled Ukrainian territory

Textual Amendments

InterpretationU.K.

30A.  In this Chapter—

“relevant restricted goods” means only those restricted goods which are not infrastructure-related goods but which are military goods;

“relevant restricted technology” means only that restricted technology which is military technology.

Export of relevant restricted goodsU.K.

30B.—(1) The export of relevant restricted goods to, or for use in, non-government controlled Ukrainian territory is prohibited.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Supply and delivery of relevant restricted goodsU.K.

30C.—(1) A person must not directly or indirectly supply or deliver relevant restricted goods from a third country to a place in non-government controlled Ukrainian territory.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for non-government controlled Ukrainian territory.

(4) In this regulation, “third country” means a country that is not the United Kingdom or the Isle of Man.

Making available relevant restricted goods and relevant restricted technologyU.K.

30D.—(1) A person must not—

(a)directly or indirectly make relevant restricted goods or relevant restricted technology available to a person connected with non-government controlled Ukrainian territory; or

(b)directly or indirectly make relevant restricted goods or relevant restricted technology available for use in non-government controlled Ukrainian territory.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with non-government controlled Ukrainian territory;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were for use in non-government controlled Ukrainian territory.

Transfer of relevant restricted technologyU.K.

30E.—(1) A person must not—

(a)transfer relevant restricted technology to a place in non-government controlled Ukrainian territory; or

(b)transfer relevant restricted technology to a person connected with non-government controlled Ukrainian territory.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the transfer was to a place in non-government controlled Ukrainian territory;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with non-government controlled Ukrainian territory.

Technical assistance relating to relevant restricted goods and relevant restricted technologyU.K.

30F.—(1) A person must not directly or indirectly provide technical assistance relating to relevant restricted goods or relevant restricted technology—

(a)to a person connected with non-government controlled Ukrainian territory; or

(b)for use in non-government controlled Ukrainian territory.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with non-government controlled Ukrainian territory;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were for use in non-government controlled Ukrainian territory.

Financial services and funds relating to relevant restricted goods and relevant restricted technologyU.K.

30G.—(1) A person must not directly or indirectly provide, to a person connected with non-government controlled Ukrainian territory, financial services in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of relevant restricted goods;

(b)the direct or indirect supply or delivery of relevant restricted goods;

(c)directly or indirectly making relevant restricted goods or relevant restricted technology available to a person;

(d)the transfer of relevant restricted technology; or

(e)the direct or indirect provision of technical assistance relating to relevant restricted goods or relevant restricted technology.

(2) A person must not directly or indirectly provide funds to a person connected with non-government controlled Ukrainian territory in pursuance of or in connection with an arrangement mentioned in paragraph (1).

(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of relevant restricted goods to, or for use in, non-government controlled Ukrainian territory;

(b)the direct or indirect supply or delivery of relevant restricted goods to a place in non-government controlled Ukrainian territory;

(c)directly or indirectly making relevant restricted goods or relevant restricted technology available—

(i)to a person connected with non-government controlled Ukrainian territory, or

(ii)for use in non-government controlled Ukrainian territory;

(d)the transfer of relevant restricted technology—

(i)to a person connected with non-government controlled Ukrainian territory, or

(ii)to a place in non-government controlled Ukrainian territory; or

(e)the direct or indirect provision of technical assistance relating to relevant restricted goods or relevant restricted technology—

(i)to a person connected with non-government controlled Ukrainian territory, or

(ii)for use in non-government controlled Ukrainian territory.

(4) Paragraphs (1) to (3) are subject to Part 7 (Exceptions and licences).

(5) A person who contravenes a prohibition in any of paragraphs (1) to (3) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1) or (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with non-government controlled Ukrainian territory;

(b)it is a defence for a person charged with the offence of contravening paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to relevant restricted goods and relevant restricted technologyU.K.

30H.—(1) A person must not directly or indirectly provide brokering services to a person connected with non-government controlled Ukrainian territory in relation to an arrangement whose object or effect is—

(a)the export of relevant restricted goods;

(b)the direct or indirect supply or delivery of relevant restricted goods;

(c)directly or indirectly making relevant restricted goods or relevant restricted technology available to a person;

(d)the transfer of relevant restricted technology; or

(e)the direct or indirect provision of technical assistance relating to relevant restricted goods or relevant restricted technology.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.]

F111CHAPTER 3U.K.Dual-use goods, dual-use technology and related activities

Textual Amendments

Interpretation of this ChapterU.K.

31.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Export of dual-use goodsU.K.

32.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Supply and delivery of dual-use goodsU.K.

33.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Making dual-use goods and dual-use technology availableU.K.

34.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Transfer of dual-use technologyU.K.

35.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Technical assistance relating to dual-use goods and dual-use technologyU.K.

36.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Financial services and funds relating to dual-use goods and dual-use technologyU.K.

37.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Brokering services: non-UK activity relating to dual-use goods and dual-use technologyU.K.

38.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CHAPTER 4U.K.Energy-related goods and related activities

Interpretation of this ChapterU.K.

39.  For the purposes of this Chapter “Russia” includes Russia's exclusive economic zone and continental shelf (which terms are to be interpreted in accordance with the United Nations Convention on the Law of the Sea) M11.

Commencement Information

I30Reg. 39 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M11Command 8941.

Export of energy-related goodsU.K.

40.—[F112(1) The export of energy-related goods to, or for use in, Russia is prohibited.]

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Textual Amendments

Commencement Information

I31Reg. 40 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F113Supply and delivery of energy-related goodsU.K.

41.—(1) A person must not directly or indirectly supply or deliver energy-related goods from a third country to a place in Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for Russia.

(4) In this regulation “third country” means a country that is not the United Kingdom, the Isle of Man or Russia.]

Textual Amendments

Making energy-related goods availableU.K.

42.—(1) A person must not directly or indirectly make energy-related goods available for use in Russia.

[F114(1A) A person must not directly or indirectly make energy-related goods available to a person connected with Russia.]

(2) [F115Paragraphs (1) and (1A) are] subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the goods were for use in Russia.

[F116(4) A person who contravenes a prohibition in paragraph (1A) commits an offence, but it is a defence for a person charged with that offence (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia.]

Textual Amendments

Commencement Information

I32Reg. 42 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F117Technical assistance relating to energy-related goodsU.K.

43.—(1) A person must not directly or indirectly provide technical assistance relating to energy-related goods—

(a)to a person connected with Russia; or

(b)for use in Russia.

(2) Paragraph (1) is subject to Part 7 (Exception and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were for use in Russia.]

Textual Amendments

Financial services and funds relating to energy-related goods F118...U.K.

44.—(1) A person must not directly or indirectly provide, to a person connected with Russia, financial services in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of energy-related goods,

(b)the direct or indirect supply or delivery of energy-related goods,

(c)directly or indirectly making energy-related goods available to a person, or

(d)the direct or indirect provision of technical assistance relating to energy-related goods.

(2) A person must not directly or indirectly make funds available to a person connected with Russia in pursuance of or in connection with an arrangement mentioned in paragraph (1).

[F119(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of energy related goods to, or for use in, Russia;

(b)the direct or indirect supply or delivery of energy related goods to a place in Russia;

(c)directly or indirectly making energy related goods available—

(i)to a person connected with Russia; or

(ii)for use in Russia;

(d)the direct or indirect provision of technical assistance relating to energy related goods—

(i)to a person connected with Russia, or

(ii)for use in Russia.]

(4) Paragraphs (1) to (3) are subject to Part 7 (Exceptions and licences).

(5) A person who contravenes a prohibition in any of paragraphs (1) to (3) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening a prohibition in paragraph (1) or (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with an offence of contravening a prohibition in paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned that paragraph.

Textual Amendments

Commencement Information

I33Reg. 44 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Brokering services: non-UK activity relating to energy-related goods F120...U.K.

45.—(1) A person (“P”) must not directly or indirectly provide brokering services in relation to an arrangement (“arrangement A”) whose object or effect is—

(a)the direct or indirect supply or delivery of energy-related goods F121... from a third country to a place in Russia;

[F122(b)directly or indirectly making energy-related goods available in a third country for direct or indirect supply or delivery—

(i)to a person connected with Russia, or

(ii)to a place in Russia;]

(c)the direct or indirect provision, in a non-UK country, of technical assistance relating to energy-related goods—

(i)to a person connected with Russia, or

(ii)for use in Russia;

(d)the direct or indirect provision, in a non-UK country, of financial services—

(i)to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 44(1) , or

(ii)where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 44(3);

(e)directly or indirectly making funds available, in a non-UK country, to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 44(1); or

(f)the direct or indirect provision of funds from a non-UK country, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 44(3).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

(4) In this regulation—

“non-UK country” means a country that is not the United Kingdom;

“third country” means a country that is not the United Kingdom, the Isle of Man or Russia.

Textual Amendments

Commencement Information

I34Reg. 45 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Prohibition on providing other energy-related servicesU.K.

46.—(1) A person must not provide, directly or indirectly, relevant energy services.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the person was providing relevant energy services.

(4) In this regulation—

[F123“relevant energy services” means specified services necessary for an oil or gas exploration or production project in Russia;]

F124...

“specified services” means any of the following—

(a)

drilling;

(b)

well testing;

(c)

logging and completion services;

(d)

supply of specialised floating vessels.

Textual Amendments

Commencement Information

I35Reg. 46 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F125CHAPTER 4AU.K.Aircraft and ships

Textual Amendments

Technical assistance relating to aircraft and shipsU.K.

46A.—(1) A person must not directly or indirectly provide to, or for the benefit of, a designated person technical assistance relating to—

(a)an aircraft, or

(b)a ship.

(2) [F126Paragraph (1)(b)] does not apply to any technical assistance which is prohibited under regulation 27 (technical assistance relating to restricted goods and restricted technology).

(3) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the technical assistance was provided to, or for the benefit of, a designated person.

(5) In this regulation—

“aircraft” includes unmanned aircraft and aircraft capable of spaceflight activities;

“designated person” means a person designated under regulation 5 (power to designate persons) for the purposes of this regulation;

“ship” includes every description of vessel (including a hovercraft) used in navigation.]

Textual Amendments

[F127CHAPTER 4BU.K.Luxury goods

Textual Amendments

Luxury goodsU.K.

46B.—(1) The export of luxury goods to, or for use in, Russia is prohibited.

(2) A person must not directly or indirectly—

(a)supply or deliver luxury goods from a third country to a place in Russia;

(b)make luxury goods available to a person connected with Russia;

(c)make luxury goods available for use in Russia.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (2) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (2)(a) to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (2)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(c)it is a defence for a person charged with the offence of contravening paragraph (2)(c) to show that the person did not know and had no reasonable cause to suspect that the goods were for use in Russia.

(5) In this regulation, “third country” means a country that is not the United Kingdom, the Isle of Man or Russia.]

[F128CHAPTER 4CU.K.Iron and steel products

Textual Amendments

[F129InterpretationU.K.

46C.  In this Chapter—

“iron and steel products” means any thing specified in Schedule 3B;

“third country” means a country that is not the United Kingdom, the Isle of Man or Russia.]

Textual Amendments

Import of iron and steel productsU.K.

46D.—(1) The import of iron and steel products which are consigned from Russia is prohibited.

(2) The import of iron and steel products which originate in Russia is prohibited.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

Acquisition of iron and steel productsU.K.

46E.—(1) A person must not directly or indirectly acquire iron and steel products—

(a)which originate in Russia;

(b)which are located in Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were located in Russia.

Supply and delivery of iron and steel productsU.K.

46F.—(1) A person must not directly or indirectly supply or deliver iron and steel products from a place in Russia to a third country.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Russia, whether directly or indirectly.

(4) In this regulation, “third country” means a country that is not the United Kingdom, the Isle of Man or Russia.]

[F130Technical assistance relating to iron and steel productsU.K.

46G.—(1) A person must not directly or indirectly provide technical assistance relating to—

(a)the import of iron and steel products which—

(i)originate in Russia; or

(ii)are consigned from Russia;

(b)the direct or indirect acquisition of iron and steel products which—

(i)originate in Russia; or

(ii)are located in Russia; or

(c)the direct or indirect supply or delivery of iron and steel products from a place in Russia to a third country.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

(c)it is a defence for a person charged with an offence of contravening paragraph (1)(c), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

Textual Amendments

Financial services and funds relating to iron and steel productsU.K.

46H.—(1) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the import of iron and steel products which—

(i)originate in Russia; or

(ii)are consigned from Russia;

(b)the direct or indirect acquisition of iron and steel products which—

(i)originate in Russia; or

(ii)are located in Russia; or

(c)the direct or indirect supply or delivery of iron and steel products from a place in Russia to a third country.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Textual Amendments

Brokering services relating to iron and steel productsU.K.

46I.—(1) A person must not directly or indirectly provide brokering services in relation to any arrangements described in regulation 46H(1)(a) to (c).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.]

Textual Amendments

[F131CHAPTER 4DU.K.Interception and monitoring services

Textual Amendments

InterpretationU.K.

46J.  In this Chapter, “Government of Russia” has the meaning given in regulation 6(7);

Interception and monitoring servicesU.K.

46K.—(1) A person must not directly or indirectly provide interception and monitoring services to, or for the benefit of, the Government of Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person (“P”) charged with that offence to show that P did not know and had no reasonable cause to suspect that the services were provided to, or for the benefit of, the Government of Russia.

CHAPTER 4EU.K.Banknotes

BanknotesU.K.

46L.—(1) The export of banknotes to, or for use in, Russia is prohibited.

(2) A person must not directly or indirectly—

(a)supply or deliver banknotes to a person connected with Russia;

(b)make banknotes available to a person connected with Russia; or

(c)make banknotes available for use in Russia.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (2) commits an offence.

(5) In this regulation, “banknotes” means—

(a)sterling denominated banknotes issued by the Bank of England and banks in Scotland and Northern Ireland; and

(b)banknotes denominated in any official currency of the European Union.

CHAPTER 4FU.K.Jet fuel and fuel additives

InterpretationU.K.

46M.  In this Chapter, “jet fuel and fuel additives” means the goods listed under that heading in Part 8 of Schedule 2A.

Jet fuel and fuel additivesU.K.

46N.—(1) The export of jet fuel and fuel additives to, or for use in, Russia is prohibited.

(2) A person must not directly or indirectly—

(a)supply or deliver jet fuel and fuel additives from a third country to a place in Russia;

(b)make jet fuel and fuel additives available to a person connected with Russia;

(c)make jet fuel and fuel additives available for use in Russia.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (2) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (2)(a) to show that the person did not know and had no reasonable cause to suspect that the jet fuel and fuel additives were destined (or ultimately destined) for Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (2)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(c)it is a defence for a person charged with the offence of contravening paragraph (2)(c) to show that the person did not know and had no reasonable cause to suspect that the jet fuel and fuel additives were for use in Russia.

(5) In this regulation, “third country” means a country that is not the United Kingdom, the Isle of Man or Russia.

Technical assistance relating to jet fuel and fuel additivesU.K.

46O.—(1) A person must not directly or indirectly provide technical assistance relating to jet fuel and fuel additives—

(a)to a person connected with Russia; or

(b)for use in Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance was to be provided to a person connected with Russia;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to jet fuel and fuel additives for use in Russia.

Financial services and funds relating to jet fuel and fuel additivesU.K.

46P.—(1) A person must not directly or indirectly provide, to a person connected with Russia, financial services in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of jet fuel and fuel additives;

(b)the direct or indirect supply or delivery of jet fuel and fuel additives;

(c)directly or indirectly making jet fuel and fuel additives available to a person connected with Russia; or

(d)the direct or indirect provision of technical assistance relating to jet fuel and fuel additives.

(2) A person must not directly or indirectly make funds available to a person connected with Russia in pursuance of or in connection with an arrangement mentioned in paragraph (1).

(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of jet fuel and fuel additives to, or for use in, Russia;

(b)the direct or indirect supply or delivery of jet fuel and fuel additives to a place in Russia;

(c)directly or indirectly making jet fuel and fuel additives available—

(i)to a person connected with Russia, or

(ii)for use in Russia; or

(d)the direct or indirect provision of technical assistance relating to jet fuel and fuel additives—

(i)to a person connected with Russia, or

(ii)for use in Russia.

(4) Paragraphs (1) to (3) are subject to Part 7 (Exceptions and licences).

(5) A person who contravenes a prohibition in any of paragraphs (1) to (3) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1) or (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to jet fuel and fuel additivesU.K.

46Q.—(1) A person must not directly or indirectly provide brokering services to a person connected with Russia in relation to an arrangement whose object or effect is—

(a)the export of jet fuel and fuel additives;

(b)the direct or indirect supply or delivery of jet fuel and fuel additives;

(c)directly or indirectly making jet fuel and fuel additives available to a person connected with Russia; or

(d)the direct or indirect provision of technical assistance relating to jet fuel and fuel additives.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

CHAPTER 4GU.K.Revenue generating goods

InterpretationU.K.

46R.  In this Chapter—

“revenue generating goods” means any thing specified in Schedule 3D;

“third country” means a country that is not the United Kingdom, the Isle of Man or Russia.

Import of revenue generating goodsU.K.

46S.—(1) The import of revenue generating goods which are consigned from Russia is prohibited.

(2) The import of revenue generating goods which originate in Russia is prohibited.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

Acquisition of revenue generating goodsU.K.

46T.—(1) A person must not directly or indirectly acquire revenue generating goods which—

(a)originate in Russia; or

(b)are located in Russia,

with the intention of those goods entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were located in Russia.

Supply and delivery of revenue generating goodsU.K.

46U.—(1) A person must not directly or indirectly supply or deliver revenue generating goods from a place in Russia into the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Russia, whether directly or indirectly.

Technical assistance relating to revenue generating goodsU.K.

46V.—(1) A person must not directly or indirectly provide technical assistance relating to—

(a)the import of revenue generating goods which—

(i)originate in Russia, or

(ii)are consigned from Russia;

(b)the direct or indirect acquisition of revenue generating goods which—

(i)originate in Russia, or

(ii)are located in Russia,

with the intention of those goods entering the United Kingdom;

(c)the direct or indirect supply or delivery of revenue generating goods from a place in Russia into the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

(c)it is a defence for a person charged with an offence of contravening paragraph (1)(c), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

Financial services and funds relating to revenue generating goodsU.K.

46W.—(1) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the import of revenue generating goods which—

(i)originate in Russia, or

(ii)are consigned from Russia; or

(b)the direct or indirect acquisition of revenue generating goods which—

(i)originate in Russia, or

(ii)are located in Russia,

with the intention of those goods entering the United Kingdom;

(c)the direct or indirect supply or delivery of revenue generating goods from a place in Russia into the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to revenue generating goodsU.K.

46X.—(1) A person must not directly or indirectly provide brokering services in relation to any arrangements described in regulation 46W(1)(a) to (c).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.]

[F132Chapter 4HU.K.G7 dependency and further goods list goods

Textual Amendments

G7 dependency and further goods list goodsU.K.

46Y.—(1) The export of G7 dependency and further goods list goods to, or for use in, Russia is prohibited.

(2) A person must not directly or indirectly—

(a)supply or deliver G7 dependency and further goods list goods from a third country to a place in Russia;

(b)make G7 dependency and further goods list goods available to a person connected with Russia;

(c)make G7 dependency and further goods list goods available for use in Russia.

(3) Paragraphs (1) and (2) are subject to Part 7 (exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (2) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (2)(a) to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (2)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(c)it is a defence for a person charged with the offence of contravening paragraph (2)(c) to show that the person did not know and had no reasonable cause to suspect that the goods were for use in Russia.

(5) In this regulation “third country” means a country that is not the United Kingdom, the Isle of Man or Russia.

Technical assistance relating to G7 dependency and further goods list goodsU.K.

46Z.—(1) A person must not directly or indirectly provide technical assistance relating to G7 dependency and further goods list goods—

(a)to a person connected with Russia; or

(b)for use in Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with an offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were for use in Russia.

Financial services and funds relating to G7 dependency and further goods list goodsU.K.

46Z1.—(1) A person must not directly or indirectly provide, to a person connected with Russia, financial services in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of G7 dependency and further goods list goods;

(b)the direct or indirect supply or delivery of G7 dependency and further goods list goods;

(c)directly or indirectly making G7 dependency and further goods list goods available to a person; or

(d)the direct or indirect provision of technical assistance relating to G7 dependency and further goods list goods.

(2) A person must not directly or indirectly make funds available to a person connected with Russia in pursuance of or in connection with an arrangement mentioned in paragraph (1).

(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of G7 dependency and further goods list goods to, or for use in, Russia;

(b)the direct or indirect supply or delivery of G7 dependency and further goods list goods to a place in Russia;

(c)directly or indirectly making G7 dependency and further goods list goods available—

(i)to a person connected with Russia, or

(ii)for use in Russia; or

(d)the direct or indirect provision of technical assistance relating to G7 dependency and further goods list goods —

(i)to a person connected with Russia, or

(ii)for use in Russia.

(4) Paragraphs (1) to (3) are subject to Part 7 (Exceptions and licences).

(5) A person who contravenes a prohibition in any of paragraphs (1) to (3) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1) or (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to G7 dependency and further goods list goodsU.K.

46Z2.—(1) A person must not directly or indirectly provide brokering services to a person connected with Russia in pursuance of or in connection with an arrangement (“arrangement A”) whose object or effect is—

(a)the export of G7 dependency and further goods list goods;

(b)the direct or indirect supply or delivery of G7 dependency and further goods list goods;

(c)directly or indirectly making G7 dependency and further goods list goods available to a person;

(d)the direct or indirect provision of technical assistance relating to G7 dependency and further goods list goods;

(e)the direct or indirect provision, in a non-UK country, of financial services—

(i)to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(1), or

(ii)where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(3);

(f)directly or indirectly making funds available, in a non-UK country, to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(1); or

(g)the direct or indirect provision of funds from a non-UK country, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(3).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

CHAPTER 4IU.K.Oil and Oil Products

Meaning of “relevant day”U.K.

46Z3.  In this Chapter, “relevant day” means 31st December 2022.

Import of oil and oil productsU.K.

46Z4.—(1) The import of oil and oil products, on or after the relevant day, which are consigned from Russia is prohibited.

(2) The import of oil and oil products, on or after the relevant day, which originate in Russia is prohibited.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

Acquisition of oil and oil productsU.K.

46Z5.—(1) A person must not, on or after the relevant day, directly or indirectly acquire oil and oil products—

(a)which originate in Russia; or

(b)which are located in Russia,

with the intention of those goods entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were located in Russia.

Supply and delivery of oil and oil productsU.K.

46Z6.—(1) A person must not, on or after the relevant day, directly or indirectly supply or deliver oil and oil products from a place in Russia to the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Russia, whether directly or indirectly.

Technical assistance relating to oil and oil productsU.K.

46Z7.—(1) A person must not, on or after the relevant day, directly or indirectly provide technical assistance relating to—

(a)the import of oil and oil products which—

(i)originate in Russia, or

(ii)are consigned from Russia;

(b)the direct or indirect acquisition of oil and oil products which—

(i)originate in Russia, or

(ii)are located in Russia,

with the intention of those products entering the United Kingdom;

(c)the direct or indirect supply or delivery of oil and oil products from a place in Russia into the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes any of the prohibitions in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening—

(a)paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b)paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

(c)paragraph (1)(c), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

Financial services and funds relating to oil and oil productsU.K.

46Z8.—(1) A person must not, on or after the relevant day, directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the import of oil and oil products which—

(i)originate in Russia, or

(ii)are consigned from Russia; or

(b)the direct or indirect acquisition of oil and oil products which—

(i)originate in Russia, or

(ii)are located in Russia,

with the intention of those products entering the United Kingdom;

(c)the direct or indirect supply or delivery of oil and oil products from a place in Russia into the United Kingdom.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4)  A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to oil and oil productsU.K.

46Z9.—(1) A person must not, on or after the relevant day, directly or indirectly provide brokering services in relation to any arrangements described in regulation 46Z8(1)(a) to (c).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

CHAPTER 4JU.K.Gold

Meaning of “relevant day”U.K.

46Z10.  In this Chapter, “relevant day” means the day on which this Chapter comes into force.

Prohibition on the import of gold from RussiaU.K.

46Z11.—(1) The import of gold originating from Russia is prohibited, where that gold has been exported from Russia on or after the relevant day.

(2) For the purposes of these Regulations, gold has been exported from Russia when—

(a)it has completed the applicable export formalities; and

(b)where the gold was transported by—

(i)land, it has left Russian territory;

(ii)sea, the ship on which it was transported has departed a port in Russia for a destination outside of Russia;

(iii)air, the aircraft on which it was transported has departed an airport in Russia for a destination outside of Russia.

(3) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Acquisition of gold from RussiaU.K.

46Z12.—(1) A person must not directly or indirectly acquire gold which on or after the relevant day—

(a)originated in Russia; and

(b)is located in Russia,

with the intention of those goods entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the gold originated in Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the gold was located in Russia.

Supply and delivery of gold from RussiaU.K.

46Z13.—(1) A person must not directly or indirectly supply or deliver gold, which originated in Russia on or after the relevant day—

(a)from a place in Russia; or

(b)from a third country,

to the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery from a place in Russia or from a third country was of gold which originated in Russia on or after the relevant day, whether directly or indirectly.

(4) In this regulation “third country” means a country that is not the United Kingdom, the Isle of Man or Russia.

Technical assistance relating to goldU.K.

46Z14.—(1) A person must not directly or indirectly provide technical assistance relating to—

(a)the import of gold which on or after the relevant day—

(i)originated in Russia; or

(ii)is consigned from Russia;

(b)the direct or indirect acquisition of gold which on or after the relevant day—

(i)originated in Russia; and

(ii)is located in Russia,

with the intention of that gold entering the United Kingdom;

(c)the direct or indirect supply or delivery of gold, which originated in Russia on or after the relevant day—

(i)from a place in Russia; or

(ii)from a third country,

to the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening —

(a)paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b)paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

(c)paragraph (1)(c), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

Financial services and funds relating to goldU.K.

46Z15.—(1) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the import of gold which on or after the relevant day—

(i)originated in Russia, or

(ii)is consigned from Russia; or

(b)the direct or indirect acquisition of gold which on or after the relevant day—

(i)originated in Russia; and

(ii)is located in Russia,

with the intention of that gold entering the United Kingdom;

(c)the direct or indirect supply or delivery of gold, which originated in Russia on or after the relevant day—

(i)from a place in Russia; or

(ii)from a third country,

to the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to goldU.K.

46Z16.—(1) A person must not directly or indirectly provide brokering services in relation to any arrangements described in regulation 46Z15(1)(a) to (c).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

CHAPTER 4KU.K.Coal and Coal Products

Meaning of relevant dayU.K.

46Z17.  In this Chapter, “relevant day” means 10th August 2022.

Import of coal and coal productsU.K.

46Z18.—(1) The import of coal and coal products, on or after the relevant day, which are consigned from Russia is prohibited.

(2) The import of coal and coal products, on or after the relevant day, which originate in Russia is prohibited.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

Acquisition of coal and coal productsU.K.

46Z19.—(1) A person must not directly or indirectly, on or after the relevant day, acquire coal and coal products—

(a)which originate in Russia; or

(b)which are located in Russia,

with the intention of those goods entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia;

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were located in Russia.

Supply and delivery of coal and coal productsU.K.

46Z20.—(1) A person must not, on or after the relevant day, supply or deliver directly or indirectly coal and coal products from a place in Russia to the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Russia, whether directly or indirectly.

Technical assistance relating to coal and coal productsU.K.

46Z21.—(1) A person must not, on or after the relevant day, directly or indirectly provide technical assistance relating to—

(a)the import of coal and coal products which—

(i)originate in Russia, or

(ii)are consigned from Russia;

(b)the direct or indirect acquisition of coal and coal products which—

(i)originate in Russia, or

(ii)are located in Russia,

with the intention of those products entering the United Kingdom;

(c)the direct or indirect supply or delivery of coal and coal products from a place in Russia into the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening—

(a)paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b)paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

(c)paragraph (1)(c), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

Financial services and funds relating to coal and coal productsU.K.

46Z22.—(1) A person must not, on or after the relevant day, directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the import of coal and coal products which—

(i)originate in Russia, or

(ii)are consigned from Russia; or

(b)the direct or indirect acquisition of coal and coal products which—

(i)originate in Russia, or

(ii)are located in Russia,

with the intention of those products entering the United Kingdom;

(c)the direct or indirect supply or delivery of coal and coal products from a place in Russia into the United Kingdom

(2) Paragraphs (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to coal and coal productsU.K.

46Z23.—(1) A person must not, on or after the relevant day, directly or indirectly provide brokering services in relation to any arrangements described in regulation 46Z22(1)(a) to (c).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.]

CHAPTER 5U.K.Exports and imports, and related activities, in relation to [F133non-government controlled Ukrainian territory]

Textual Amendments

Imports from [F134non-government controlled Ukrainian territory] U.K.

47.—(1) The import of goods which originate in [F134non-government controlled Ukrainian territory] is prohibited.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Textual Amendments

Commencement Information

I36Reg. 47 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Export of infrastructure-related goods to [F135non-government controlled Ukrainian territory] U.K.

48.—(1) The export of infrastructure-related goods to, or for use in, [F135non-government controlled Ukrainian territory], is prohibited.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Textual Amendments

Commencement Information

I37Reg. 48 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Supply and delivery of infrastructure-related goodsU.K.

49.—(1) A person must not directly or indirectly supply or deliver infrastructure-related goods from a third country to a place in [F136non-government controlled Ukrainian territory].

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for [F136non-government controlled Ukrainian territory].

(4) In this regulation, “third country” means a country that is not the United Kingdom, the Isle of Man or [F136non-government controlled Ukrainian territory].

Textual Amendments

Commencement Information

I38Reg. 49 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Making infrastructure-related goods availableU.K.

50.—(1) A person must not—

(a)directly or indirectly make infrastructure-related goods available to a person connected with [F137non-government controlled Ukrainian territory];

(b)directly or indirectly make infrastructure-related goods available for use in [F137non-government controlled Ukrainian territory].

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with [F137non-government controlled Ukrainian territory];

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were for use in [F137non-government controlled Ukrainian territory].

Textual Amendments

Commencement Information

I39Reg. 50 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Technical assistance relating to infrastructure-related goodsU.K.

51.—(1) A person must not directly or indirectly provide technical assistance relating to infrastructure-related goods—

(a)to a person connected with [F138non-government controlled Ukrainian territory], or

(b)for use in [F138non-government controlled Ukrainian territory].

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with [F138non-government controlled Ukrainian territory];

(b)it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods were for use in [F138non-government controlled Ukrainian territory].

Textual Amendments

Commencement Information

I40Reg. 51 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Financial services and funds relating to infrastructure-related goods etc.U.K.

52.—(1) A person must not directly or indirectly provide, to a person connected with [F139non-government controlled Ukrainian territory], financial services in pursuance of or in connection with an arrangement whose object or effect is—

(a)the export of infrastructure-related goods,

(b)the direct or indirect supply or delivery of infrastructure-related goods,

(c)directly or indirectly making infrastructure-related goods available to a person, or

(d)the direct or indirect provision of technical assistance relating to infrastructure-related goods.

(2) A person must not directly or indirectly make funds available to a person connected with [F139non-government controlled Ukrainian territory] in pursuance of or in connection with an arrangement mentioned in paragraph (1).

(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a)the import of goods which originate in [F139non-government controlled Ukrainian territory];

(b)the export of infrastructure-related goods to, or for use in, [F139non-government controlled Ukrainian territory],

(c)the direct or indirect supply or delivery of infrastructure-related goods to a place in [F139non-government controlled Ukrainian territory],

(d)directly or indirectly making infrastructure-related goods available—

(i)to a person connected with [F139non-government controlled Ukrainian territory], or

(ii)for use in [F139non-government controlled Ukrainian territory],

(e)the direct or indirect provision of technical assistance relating to infrastructure-related goods—

(i)to a person connected with [F139non-government controlled Ukrainian territory], or

(ii)for use in [F139non-government controlled Ukrainian territory].

(4) Paragraphs (1) to (3) are subject to Part 7 (Exceptions and licences).

(5) A person who contravenes a prohibition in any of paragraphs (1) to (3) commits an offence, but—

(a)it is a defence for a person charged with an offence of contravening paragraph (1) or (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with [F139non-government controlled Ukrainian territory];

(b)it is a defence for a person charged with an offence of contravening a prohibition in paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Textual Amendments

Commencement Information

I41Reg. 52 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Brokering services: non-UK activity relating to infrastructure-related goods and goods from [F140non-government controlled Ukrainian territory] U.K.

53.—(1) A person must not directly or indirectly provide brokering services in relation to an arrangement (“arrangement A”) whose object or effect is—

(a)the import of goods which originate in [F140non-government controlled Ukrainian territory];

(b)the direct or indirect supply or delivery of infrastructure-related goods from a third country to a place in [F140non-government controlled Ukrainian territory],

(c)directly or indirectly making infrastructure-related goods available in a third country for direct or indirect supply or delivery—

(i)to a person connected with [F140non-government controlled Ukrainian territory], or

(ii)to a place in [F140non-government controlled Ukrainian territory],

(d)the direct or indirect provision, in a non-UK country, of technical assistance relating to infrastructure-related goods—

(i)to a person connected with [F140non-government controlled Ukrainian territory], or

(ii)for use in [F140non-government controlled Ukrainian territory],

(e)the direct or indirect provision, in a non-UK country, of financial services—

(i)to a person connected with [F140non-government controlled Ukrainian territory], where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 52(1), or

(ii)where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 52(3) in relation to infrastructure-related goods,

(f)directly or indirectly making funds available, in a non-UK country, to a person connected with [F140non-government controlled Ukrainian territory], where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 52(1), or

(g)the direct or indirect provision of funds from a non-UK country, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 52(3) in relation to infrastructure-related goods.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

(4) In this regulation—

“non-UK country” means a country that is not the United Kingdom;

“third country” means a country that is not the United Kingdom, the Isle of Man or [F140non-government controlled Ukrainian territory].

Textual Amendments

Commencement Information

I42Reg. 53 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F141Application of prohibitions and requirements in Chapter 2 of Part 5 to non-government controlled Ukrainian territoryU.K.

53A.  Where it is specified in Schedule 2A, 3 or 3C or in any table in those Schedules that this regulation applies in relation to an item, any prohibition or requirement in Chapter 2 of this Part which applies to Russia in relation to that item also applies to non-government controlled Ukrainian territory.]

Textual Amendments

CHAPTER 6U.K.Other services relating to [F142non-government controlled Ukrainian territory]

Textual Amendments

Prohibition on providing certain services relating to [F143non-government controlled Ukrainian territory] U.K.

54.—(1) A person must not provide—

(a)services relating to a relevant infrastructure sector in [F144non-government controlled Ukrainian territory]; or

(b)services relating to tourism in [F144non-government controlled Ukrainian territory].

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but—

(a)it is a defence for a person charged with the offence in paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that P was providing services relating to a relevant infrastructure sector in [F145non-government controlled Ukrainian territory];

(b)it is a defence for a person charged with the offence in paragraph (1)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that P was providing services relating to tourism in [F145non-government controlled Ukrainian territory].

(4) In this regulation—

“services relating to a relevant infrastructure sector in [F146non-government controlled Ukrainian territory]” means technical assistance, brokering, construction or engineering services directly relating to infrastructure in [F146non-government controlled Ukrainian territory] in any of the following sectors—

(a)

transport;

(b)

telecommunications;

(c)

energy;

(d)

the prospection, exploration and production of oil, gas and mineral resources;

“technical assistance” means the provision of technical support or any other technical service.

Textual Amendments

Commencement Information

I43Reg. 54 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F147CHAPTER 6AU.K.Internet services

Textual Amendments

Preventing provision of internet services to or for the benefit of designated personsU.K.

54A.—(1) A person who provides a social media service must take reasonable steps to prevent content that is generated directly on the service, or uploaded to or shared on the service, by a designated person being encountered by a user of the service in the United Kingdom.

(2) A person who provides an internet access service must take reasonable steps to prevent a user of the service in the United Kingdom from accessing, by means of that service, an internet service provided by a designated person.

(3) A person who provides an application store through which an application for an internet service may be downloaded or otherwise accessed must take reasonable steps to prevent a user of the application store in the United Kingdom from downloading or otherwise accessing, by means of that application store, an internet service provided by a designated person.

(4) A person who fails to comply with the requirement in paragraph (1), paragraph (2) or paragraph (3) commits an offence.

(5) In this regulation—

“content” means anything communicated by means of an internet service, whether publicly or privately, including written material or messages, oral communications, photographs, videos, visual images, music and data of any description;

“designated person” means a person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation;

“encounter”, in relation to content, means read, view, hear or otherwise experience content;

“internet access service” means a service that provides access to virtually all (or just some) of the end points of the internet;

“internet service” means a service that is made available by means of the internet;

“social media service” has the meaning given by section 43(3) of the Finance Act 2020.]

[F148CHAPTER 6BU.K.Professional and Business Services

Textual Amendments

Interpretation of this ChapterU.K.

54B.  In this Chapter—

(a)“accounting services” means—

(i)accounting review services, which are services involving the review by a person of annual and interim financial statements and other accounting information, but excluding auditing services;

(ii)compilation of financial statements services, which are services involving the compilation by a person of financial statements from information provided by a client, including preparation services of business tax returns when provided together with the preparation of financial statements for a single fee, but excluding such preparation services of business tax returns when provided as a separate service;

(iii)other accounting services such as attestations, valuations, preparation services of pro forma statements;

(iv)bookkeeping services, which are services consisting of classifying and recording business transactions in terms of money or some unit of measurement in the books of account, but excluding bookkeeping services related to tax returns;

(b)“business and management consulting services” means advisory, guidance and operational assistance services provided for business policy and strategy and the overall planning, structuring and control of an organisation, which includes (but is not limited to) management auditing; market management; human resources; production management and project management consulting;

(c)“public relations services” means services provided by a person related to improving the image of their clients and their relationship with the general public and other institutions, but excludes planning and creating services for advertising or public opinion polling services.

Professional and business servicesU.K.

54C.—(1) A person must not directly or indirectly provide, to a person connected with Russia—

(a)accounting services;

(b)business and management consulting services; or

(c)public relations services.

(2) Paragraph (1) is subject to Part 7 (exceptions and licences).

(3) A person who contravenes any of the prohibitions in paragraph (1) (“P”) commits an offence, but it is a defence for P to show that P did not know and had no reasonable cause to suspect that the person to whom the services were provided was connected with Russia.]

CHAPTER 7U.K.Further provision

Circumventing etc. prohibitionsU.K.

55.—(1) A person must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—

(a)to circumvent any of the prohibitions in [F149Chapters 2 to 6 and Chapter 6B of this Part], or

(b)to enable or facilitate the contravention of any such prohibition.

(2) A person who contravenes a prohibition in paragraph (1) commits an offence.

Textual Amendments

Commencement Information

I44Reg. 55 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

DefencesU.K.

56.—(1) Paragraph (2) applies where a person relies on a defence under any of [F150Chapters 2 to 6 and Chapter 6B of this Part].

(2) If evidence is adduced which is sufficient to raise an issue with respect to the defence, the court must assume that the defence is satisfied unless the prosecution proves beyond reasonable doubt that it is not.

Textual Amendments

Commencement Information

I45Reg. 56 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

PART 6U.K.Ships

[F151Crimean ports direction ] [F152or Donetsk ports direction] U.K.

57.—(1) The Secretary of State may give a Crimean ports direction [F153or a Donetsk ports direction] to a master or pilot of a British ship which is a cruise ship.

(2) In this regulation, a “Crimean ports direction” is a direction prohibiting a ship from entering a port or any ports located in Crimea.

[F154(2A) In this regulation, a “Donetsk ports direction” is a direction prohibiting a ship from entering a port or any ports located in the non-government controlled areas of the Donetsk and Luhansk oblasts.]

(3) It is an offence for a person to whom a direction under this regulation is given to fail to comply with the direction.

(4) A Crimean ports direction [F155or a Donetsk ports direction]—

(a)may be given to any master or pilot of a British ship which is a cruise ship, or to masters and pilots of British ships which are cruise ships generally;

(b)may be of indefinite duration or a defined duration.

(5) The Secretary of State may vary, revoke or suspend a Crimean ports direction [F156or a Donetsk ports direction] at any time.

(6) In this regulation, “cruise ship” means a ship providing cruise services.

(7) Any expression used in this Part and in section 7 of the Act (shipping sanctions) has the same meaning in this Part as it has in that section.

Textual Amendments

Commencement Information

I46Reg. 57 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F157Prohibition on port entryU.K.

57A.—(1) A person must not provide a ship to which this paragraph applies with access to a port in the United Kingdom, if the person knows, or has reasonable cause to suspect, that the ship is a ship to which this paragraph applies.

(2) The master or pilot of a ship to which this paragraph applies must not cause or permit the ship to enter a port in the United Kingdom if the master or pilot knows, or has reasonable cause to suspect, that the ship is a ship to which this paragraph applies.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions) (see, in particular, regulation 61A (ships: exceptions from prohibitions on port entry)).

(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.

(5) Paragraphs (1) and (2) apply to—

(a)a ship owned, controlled, chartered or operated by a designated person,

(b)a ship owned, controlled, chartered or operated by persons connected with Russia,

(c)a ship flying the flag of Russia,

(d)a ship registered in Russia, or

(e)a specified ship.

(6) In paragraph (5), a “designated person” means a person who is designated under regulation 5 for the purposes of the relevant regulations under this Part.

Textual Amendments

Directions prohibiting port entryU.K.

57B.—(1) A port barring direction may be given to the master or pilot of a specified ship.

(2) A port barring direction may be given by—

(a)the Secretary of State, or

(b)a harbour authority.

(3) The Secretary of State may direct a harbour authority to take such steps as are reasonably practicable to secure that a ship mentioned in a port barring direction does not enter a port or ports specified in the direction, or any port in the United Kingdom.

(4) It is an offence for a person to whom a direction is given under this regulation to fail to comply with the direction.

(5) The Secretary of State may notify a person that the existence of a port barring direction, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.

(6) It is an offence for a person to disclose information if the Secretary of State has notified that person under paragraph (5) that the information is to be treated as confidential.

(7) In this regulation, a “port barring direction” means a direction prohibiting a ship from entering a port or ports specified in the direction, or any port in the United Kingdom.

Textual Amendments

Movement of shipsU.K.

57C.—(1) A port entry direction or a movement direction may be given by the Secretary of State to the master or pilot of—

(a)a ship owned, controlled, chartered or operated by a designated person,

(b)a ship owned, controlled, chartered or operated by persons connected with Russia,

(c)a ship registered in Russia,

(d)a ship flying the flag of Russia, or

(e)a specified ship.

(2) The Secretary of State may direct a harbour authority to take such steps as are reasonably practicable to secure that a ship mentioned in paragraph (1)—

(a)proceeds to or enters a port specified in the direction,

(b)leaves a port specified in the direction,

(c)proceeds to a place specified in the direction, or

(d)remains where it is.

(3) It is an offence for a person to whom a direction is given under this regulation to fail to comply with the direction.

(4) The Secretary of State may notify a person that the existence of a port entry direction or a movement direction, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.

(5) It is an offence for a person to disclose information if the Secretary of State has notified that person under paragraph (4) that the information is to be treated as confidential.

(6) In this regulation—

a “designated person” means a person who is designated under regulation 5 for the purposes of the relevant regulations under this Part;

a “movement direction” means a direction requiring a ship—

(a)

to leave a port specified in the direction,

(b)

to proceed to a place specified in the direction, or

(c)

to remain where it is;

a “port entry direction” means a direction requiring a ship to proceed to or enter a port specified in the direction.

Textual Amendments

Detention of shipsU.K.

57D.—(1) A detention direction may be given to the master of a ship referred to in paragraph (3) by—

(a)the Secretary of State, or

(b)a harbour authority.

(2) A detention direction under paragraph (1)(b) may only be given by a harbour authority to the master of a specified ship if it has received a direction from the Secretary of State in accordance with paragraph (3)(d).

(3) The Secretary of State may direct a harbour authority to give a detention direction to the master of—

(a)a ship owned, controlled, chartered or operated by a designated person,

(b)a ship owned, controlled, chartered or operated by persons connected with Russia,

[F158(ba)a ship registered in Russia,]

(c)a ship flying the flag of Russia, or

(d)a specified ship.

(4) A “detention direction” means a direction requiring the detention of a ship at a port or anchorage in the United Kingdom.

(5) A detention direction given in relation to a ship—

(a)must be in writing,

(b)must be delivered to the master of the ship by the person who detains the ship,

(c)must state the grounds on which the ship is detained, and

(d)must state that—

(i)it is given under this regulation, and

(ii)any requirements imposed by the direction must be complied with.

(6) [F159Paragraph (7)] applies if—

(a)the ship is not a British ship, and

(b)there is in the United Kingdom a consular officer for the country to which the ship belongs.

(7) A copy of the detention direction must be sent as soon as practicable to the nearest consular officer for the country to which the ship belongs.

(8) Section 284(1), (2), (2A), (2B), (3) and (8) of the Merchant Shipping Act 1995 (enforcement of detention of ships) applies in the case of detention under a detention direction as it applies in the case of detention authorised or ordered by that Act, but as if—

(a)any reference in that section to a notice of detention were to the detention direction, and

(b)the reference in subsection (2A) of that section to a direction given under subsection (1A)(a) of that section were to any requirement imposed by the detention direction.

(9) In this regulation, “consular officer”, in relation to a foreign country, means the officer recognised by Her Majesty as a consular officer of that foreign country.

(10) In this regulation, “designated persons” means a person who is designated under regulation 5 for the purposes of the relevant regulations under this Part.

Textual Amendments

Registration of ships in the United KingdomU.K.

57E.—(1) The Registrar must refuse to register a ship if, on the basis of the information given to the Registrar by the Secretary of State or accompanying the application for registration, the ship appears to the Registrar to be owned, controlled, chartered or operated by—

(a)designated persons; or

(b)persons connected with Russia.

(2) The Secretary of State may direct the Registrar to terminate the registration of—

(a)a ship that is owned, controlled, chartered or operated by;

(i)designated persons;

(ii)persons connected with Russia; or

(b)a specified ship.

(3) For the purposes of this regulation—

(a)any reference to registering a ship is to registering the ship in the register of British ships maintained by the Registrar,

(b)“designated persons” means a person who is designated under regulation 5 for the purposes of the relevant regulations under this Part, and

(c)a ship is “chartered” by a person if it is chartered on bareboat charter terms within the meaning given by section 17(11) of the Merchant Shipping Act 1995.

Textual Amendments

Specification of shipsU.K.

57F.—(1) The Secretary of State may specify ships within the meaning of section 7 of the Act for the purposes of—

(a)regulation 57A (prohibition on port entry),

(b)regulation 57B (directions prohibiting port entry),

(c)regulation 57C (movement of ships),

(d)regulation 57D (detention of ships), and

(e)regulation 57E (registration of ships in the United Kingdom).

(2) The Secretary of State must specify a ship by its International Maritime Organization number or, where it is not reasonably practicable to identify it by that number, by any other means that the Secretary of State considers appropriate.

(3) The Secretary of State may not specify a ship unless the Secretary of State—

(a)has reasonable grounds to suspect that the ship is, has been, or is likely to be, involved in a relevant activity, and

(b)considers that it is appropriate for that ship to be specified, having regard to the purposes stated in regulation 4.

(4) For the purposes of this regulation a ship is “involved in a relevant activity” if the ship is used for any activity whose object or effect is to contravene or circumvent, or to enable or facilitate the contravention or circumvention of, any provision of these Regulations.

Textual Amendments

Notification and publicity where specification power usedU.K.

57G.—(1) Paragraph (2) applies where the Secretary of State—

(a)has specified a ship under regulation 57F(1) or (2) (specification of ships), or

(b)has by virtue of section 26 of the Act revoked a specification made under that regulation.

(2) The Secretary of State—

(a)must without delay take such steps as are reasonably practicable to inform such persons as the Secretary of State considers appropriate of the specification or revocation, and

(b)except where one or more of the restricted publicity conditions is met, must take steps to publicise the specification or revocation generally.

(3) The “restricted publicity conditions” are that the Secretary of State considers that disclosure of the specification or revocation should be restricted—

(a)in the interests of national security or international relations,

(b)for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

(c)in the interests of justice.

(4) Paragraph (5) applies if—

(a)when a specification is made one or more of the restricted publicity conditions is met, but

(b)at any time when the specification has effect, it becomes the case that none of the restricted publicity conditions is met.

(5) The Secretary of State must take steps to publicise the specification generally.

Textual Amendments

Directions under this Part: generalU.K.

57H.—(1) Paragraphs (2) to (4) apply in relation to a direction given by the Secretary of State under this Part.

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

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

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

(5) A direction under regulation 57C(2) (movement of ships) may be given to any harbour authority or to harbour authorities generally.

Textual Amendments

Interpretation of Part 6U.K.

57I.—(1) For the purposes of regulations 57A to 57H, a ship is—

[F160(a)“owned” by a person if—

(i)the legal title to the ship, or to any share in the ship, is vested in the person, or in a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, or

(ii)the person, or a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, has a beneficial interest in the ship or in any share in the ship; and]

(b)“controlled” by a person who is able to take decisions about its operation, including (but not limited to) decisions about the route the ship may take and the appointment of master or crew.

(2) For the purposes of paragraph (1)(b), a ship is not “controlled” by its master or crew, unless that master or crew are designated persons under the relevant regulations of this Part.

[F161(2A) For the purposes of regulations 57A to 57H, a ship is not “operated” by its master or crew unless that master or crew are designated persons under the relevant regulations of this Part.]

(3) Any reference in this Part to a legal title or other interest includes one held jointly with any other person or persons.

(4) For the purposes of this Part—

“beneficial interest” means any beneficial interest, however arising (whether held by trustee or nominee or arising under a contract or otherwise), other than an interest held by any person as mortgagee;

“specified ship” means a ship specified by the Secretary of State under regulation 57F (specification of ships);

“the relevant regulations of this Part” means regulations 57A, 57C, 57D and 57E.

(5) For the purposes of this Part, a person is to be regarded as “connected with Russia” if the person is—

(a)an individual who is, or an association or combination of individuals who are, ordinarily resident in Russia,

(b)an individual who is, or an association or combination of individuals who are, located in Russia,

(c)a person, other than an individual, which is incorporated or constituted under the law of Russia, or

(d)a person, other than an individual, which is domiciled in Russia.

(6) Any expression used in this Part and in section 7 of the Act (shipping sanctions) has the same meaning in this Part as it has in that section.]

Textual Amendments

[F162PART 6AU.K.Aircraft

Textual Amendments

Movement of aircraftU.K.

57J.—(1) A Russian aircraft must not—

(a)overfly the United Kingdom, or

(b)land in the United Kingdom.

(2) Paragraph (1) is subject to [F163Part 7 (Exceptions and licences)].

(3) Air traffic control may direct the operator or pilot in command of a Russian aircraft—

(a)not to enter the airspace over the United Kingdom, or

(b)to leave the airspace over the United Kingdom by a specific route.

(4) The Secretary of State may direct air traffic control to give a direction under paragraph (3).

(5) An airport operator may direct the operator or pilot in command of a Russian aircraft—

(a)not to take off, or not to permit the aircraft to take off, from an airport the operator manages,

(b)to take off, or to require the aircraft to take off, from an airport the operator manages, or

(c)not to land, or not to permit the aircraft to land, at an airport the operator manages.

(6) The Secretary of State may direct an airport operator to—

(a)give a direction under paragraph (5),

(b)secure the detention of a Russian aircraft at an airport, or

(c)secure the movement of a Russian aircraft to an airport specified in the direction.

(7) An airport operator giving a direction under paragraph (5)(a) must take such steps as are reasonably practicable to detain the aircraft.

F164(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9) The Secretary of State may direct the CAA to—

(a)refuse permission under article 250 of the ANO in respect of a Russian aircraft,

(b)refuse permission under article 252 of the ANO in respect of a Russian aircraft,

(c)suspend or revoke any permission granted under article 250 of the ANO in respect of a Russian aircraft, or

(d)suspend or revoke any permission granted under article 252 of the ANO in respect of a Russian aircraft.

(10) In this regulation “Russian aircraft” means an aircraft—

(a)owned, chartered or operated by—

(i)a designated person, or

(ii)a person connected with Russia, or

(b)registered in Russia.

(11) In paragraph (10), a “designated person” means a person who is designated under regulation 5 (power to designate persons) for the purposes of either this regulation or regulation 57M (registration of an aircraft in the United Kingdom).

Textual Amendments

Directions under regulation 57JU.K.

57K.—(1) Paragraphs (2) to (4) apply in relation to a direction given under regulation 57J (movement of aircraft).

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

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

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

(5) A direction under regulation 57J(6) may be given to any airport operator or to airport operators generally.

(6) Any directions made by the Secretary of State under regulation 57J may make different provision for different purposes.

(7) Any directions in regulation 57J(3) to (9) are subject to the exceptions in regulation 61B (aircraft: exceptions from prohibitions).

Directions under regulation 57J: supplementaryU.K.

57L.—(1) Where a direction is given under regulation 57J(9)(c) or (d) (movement of aircraft: direction to CAA)—

(a)to the extent that the direction conflicts with the requirements of article 255 of the ANO (revocation etc. of permissions), those requirements are to be disregarded, and

(b)article 255(4) of the ANO does not apply in relation to [F165the suspension or] the revocation which is the subject of the direction.

(2) Where a direction is given under regulation 57J which conflicts with a permission under article 250 or 252 of the ANO, the permission is to be disregarded.

(3) In so far as a direction under regulation 57J conflicts with the requirements of section 93 of the Transport Act 2000 or an order under section 94 of that Act, the direction is to be disregarded.

(4) In so far as a direction under regulation 57J conflicts with the requirements of an enactment other than section 93 of the Transport Act 2000 or an order under section 94 of that Act, those requirements are to be disregarded.

(5) The Secretary of State may notify a person that the existence of, or any part of the content of, a direction under regulation 57J, or anything done under the direction, is to be treated as confidential.

(6) A person must not disclose any information if the Secretary of State notifies that person under paragraph (5) that the information is to be treated as confidential.

Textual Amendments

Registration of an aircraft in the United KingdomU.K.

57M.—(1) The CAA must refuse to register an aircraft if, on the basis of the information given to the CAA by the applicant, the Secretary of State or a third person, the aircraft appears to be a relevant aircraft.

(2) The Secretary of State may direct the CAA to terminate the registration of a relevant aircraft.

(3) In so far as a direction under paragraph (2) conflicts with the provisions of Part 3 (Registration and marking) of the ANO, those provisions are to be disregarded.

(4) For the purposes of this regulation “relevant aircraft” means—

(a)an aircraft owned or operated by a designated person, or

(b)an aircraft chartered by demise by a designated person.

(5) Any reference in this regulation to registering an aircraft is a reference to registering an aircraft in the register kept by the CAA.

(6) In paragraph (4), a “designated person” means a person who is designated under regulation 5 (power to designate persons) for the purposes of either this regulation or regulation 57J (movement of aircraft).

OffencesU.K.

57N.—(1) If a prohibition in regulation 57J(1) (movement of aircraft) is contravened by the flight or landing of a Russian aircraft, the operator and pilot in command of the aircraft commit an offence.

(2) It is an offence for an airport operator to fail, without reasonable excuse, to comply with a direction given by the Secretary of State under regulation 57J(6).

(3) It is an offence for a person to whom a direction is given under regulation 57J(3) (direction by air traffic control to operator or pilot of Russian aircraft) to fail to comply with the direction.

(4) It is an offence for a person to whom a direction is given under regulation 57J(5) (direction by airport operator to operator or pilot of Russian aircraft) to fail to comply with the direction.

(5) A person who contravenes the prohibition in regulation 57L(6) (disclosure of direction) commits an offence.

[F166(6) In paragraph (1), “Russian aircraft” has the same meaning as in regulation 57J.]

Textual Amendments

Interpretation of Part 6AU.K.

57O.—(1) In this Part—

“air traffic control” means a person who holds a licence under section 5 of the Transport Act 2000;

“the ANO” means the Air Navigation Order 2016;

“beneficial interest” means any beneficial interest, however arising (whether held by trustee or nominee or arising under a contract or otherwise), other than an interest held by any person as mortgagee;

F167...

[F168(2) For the purposes of this Part an aircraft is “owned” by a person if—

(a)the legal title to the aircraft, or to any share in the aircraft, is vested in the person, or a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, or

(b)the person, or a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, has a beneficial interest in the aircraft or in any share in the aircraft,

and the reference to a legal title or other interest includes one held jointly with any other person or persons.]

(3) For the purposes of this Part a person is to be regarded as “connected with” Russia if the person is—

(a)an individual who is, or an association or combination of individuals who are, ordinarily resident in Russia,

(b)an individual who is, or an association or combination of individuals who are, located in Russia,

(c)a person, other than an individual, which is incorporated or constituted under the law of Russia, or

(d)a person, other than an individual, which is domiciled in Russia.

(4) Any expression used in this Part and in section 6 of the Act (aircraft sanctions) has the same meaning in this Part as it has in that section.]

Textual Amendments

PART 7U.K.Exceptions and licences

Asset-freeze etc.: exceptions from prohibitionsU.K.

58.—(1) The prohibition in regulation 11 (asset-freeze in relation to designated persons) is not contravened by an independent person (“P”) transferring to another person a legal or equitable interest in funds or economic resources where, immediately before the transfer, the interest—

(a)is held by P, and

(b)is not held jointly with the designated person.

(2) In paragraph (1) “independent person” means a person who—

(a)is not the designated person, and

(b)is not owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

(3) The prohibitions in regulations 11 to 13 (asset-freeze in relation to, and making funds available to or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account with interest or other earnings due on the account.

(4) The prohibitions in regulations 12 and 13 (making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account where it receives funds transferred to that institution for crediting to that account.

(5) The prohibitions in regulations 12 and 13 are not contravened by the transfer of funds to a relevant institution for crediting to an account held or controlled (directly or indirectly) by a designated person, where those funds are transferred in discharge (or partial discharge) of an obligation which arose before the date on which the person became a designated person.

(6) The prohibitions in regulations 11 to 13 are not contravened in relation to a designated person (“P”) by a transfer of funds from account A to account B, where—

(a)account A is with a relevant institution which carries on an excluded activity within the meaning of section 142D of the Financial Services and Markets Act 2000 M12,

(b)account B is with a ring-fenced body within the meaning of section 142A of the Financial Services and Markets Act 2000 M13, and

(c)accounts A and B are held or controlled (directly or indirectly) by P.

(7) In this regulation—

“designated person” has the same meaning as it has in Chapter 1 Part 3 (Finance);

“frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person;

“relevant institution” means a person that has permission under Part 4A of the Financial Services and Markets Act 2000 M14 (permission to carry on regulated activity).

(8) The definition of “relevant institution” in paragraph (7) is to be read with section 22 of the Financial Services and Markets Act 2000 M15, any relevant order under that section M16 and Schedule 2 to that Act M17.

Commencement Information

I47Reg. 58 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M122000 c.8. Section 142D was inserted by section 4(1) of the Financial Services (Banking Reform) Act 2013 (c.33).

M13Section 142A was inserted by section 4(1) of the Financial Services (Banking Reform) Act 2013 (c.33).

M14Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and amended by S.I. 2018/135.

M15Section 22 was amended by; the Financial Guidance and Claims Act 2018 (c.10), Part 2, s.27(4); the Financial Services Act 2012, section 7(1); and S.I. 2018/135.

M17Schedule 2 was amended by; the Dormant Bank and Building Society Accounts Act 2008 (c.31), section 15, Schedule 2, para. 1; the Regulation of Financial Services (Land Transactions) Act 2003 (c.24), section 1; the Financial Services Act 2012, section 7(2) to (5) and section 8; S.I. 2013/1881; and it is prospectively amended by S.I. 2018/135.

Exceptions relating to loans and credit arrangementsU.K.

59.—(1) The prohibitions in regulation 17 (loans and credit arrangements) are not contravened by the grant of—

F169(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)a relevant loan that has a specific and documented objective of making emergency funds available to meet applicable solvency or liquidity criteria for a relevant subsidiary;

[F170(c)a relevant loan consisting of a drawdown or disbursement made under an arrangement entered into before—

(i)in the case of a category 1 loan, 15th September 2014;

(ii)in the case of a category 2 loan, a category 3 loan or a category 4 loan, 1st March 2022;

where the conditions in paragraph (2) are met.]

(2) The conditions referred to in paragraph (1)(c) are that—

(a)all the terms and conditions of such drawdowns or disbursements—

[F171(i)were agreed before—

(aa)in the case of a category 1 loan, 15th September 2014;

(bb)in the case of a category 2 loan, a category 3 loan or a category 4 loan, 1st March 2022;]

(ii)have not been modified on or after that date; and

(b)a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation of all the rights and obligations under the arrangement.

(3) In this regulation—

[F172“category 1 loan” has the meaning given to it in regulation 17;

“category 2 loan” has the meaning given to it in regulation 17;

“category 3 loan” has the meaning given to it in regulation 17;

“category 4 loan” has the meaning given to it in regulation 17;]

F173...

F174...

“relevant loan” has the meaning given to it in regulation 17;

“relevant subsidiary” means a person, other than an individual, which is—

(a)

incorporated or constituted under the law of any part of the United Kingdom, and

(b)

[F175owned (within the meaning of regulation 16(7)) by a person, other than an individual, that is connected with Russia.]

Textual Amendments

Commencement Information

I48Reg. 59 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F176Exception relating to correspondent banking relationships etc.U.K.

59A.  The prohibition in regulation 17A(2) (processing sterling payments) does not apply to the processing of a sterling payment for any fee or charge required to permit an aircraft to overfly, land in or take off from Russia.]

Textual Amendments

Exceptions relating to investments in relation to [F177non-government controlled Ukrainian territory] U.K.

60.—(1) The prohibitions in [F178regulation 18 (investments in relation to non-government controlled Ukrainian territory)] are not contravened by any act done by a person (“P”) in satisfaction of an obligation of P arising under a contract concluded before [F179the relevant date], or an ancillary contract necessary for the satisfaction of such a contract, provided that P has notified the Treasury no later than the day five working days before the day on which the act is carried out.

(2) The prohibitions in regulation 18 are not contravened by activities carried on by a person with entities outside [F180non-government controlled Ukrainian territory] where the related investment is not destined for an entity in [F180non-government controlled Ukrainian territory].

[F181(3) In this regulation, “the relevant date” means—

(a)in the case of investments in relation to Crimea, 20th December 2014;

(b)in the case of investments in relation to non-government controlled areas of the Donetsk and Luhansk oblasts, 23rd February 2022.]

Textual Amendments

Commencement Information

I49Reg. 60 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F182Exceptions relating to investments in relation to RussiaU.K.

60ZZA.—(1) The prohibitions in regulation 18B (investments in relation to Russia) are not contravened by any act done by a person (“P”) in satisfaction of an obligation of P arising under a contract concluded before the coming into force of the Amendment No.12 Regulations, or an ancillary contract necessary for the satisfaction of such a contract, provided that P has notified the Treasury no later than the day five working days before the day on which the act is carried out.

(2) The prohibitions in regulation 18B are not contravened by a person dealing, directly or indirectly, with—

(a)a transferable security where such dealing is prohibited by regulation 16;

(b)a relevant security issued by a person connected with Russia; or

(c)a relevant security issued by a relevant entity.

(3) In this regulation—

“dealing with” a relevant security issued by a person connected with Russia or by a relevant entity includes a reference to purchasing or selling the security, providing investment services relating to the security or assisting in the issuance of the security;

“relevant entity” shall have the same meaning as it has in regulation 18B (investments in relation to Russia);

“relevant security issued by a person connected with Russia” means a security issued by—

(a)

a person connected with Russia;

(b)

a person, other than an individual, which is owned by a person falling within sub-paragraph (a); or

(c)

a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a) or sub-paragraph (b);

which—

(d)

is negotiable on the capital market;

(e)

is of any of the following kinds, but excluding instruments of payment—

(i)

shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares;

(ii)

bonds or other forms of securitised debt, including depositary receipts in respect of such securities;

(iii)

any other securities giving the right to purchase or sell any security of a kind mentioned in paragraph (i) or (ii); and

(f)

was admitted to trading on a regulated market or multilateral trading facility prior to the coming into force of the Amendment (No. 12) Regulations;

“relevant security issued by a relevant entity” means a security issued by a relevant entity, negotiable on the capital market, of any of the following kinds, but excluding instruments of payment—

(a)

shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares;

(b)

bonds or other forms of securitised debt, including depositary receipts in respect of such securities;

(c)

any other securities giving the right to purchase or sell any security of a kind mentioned in paragraph (a) or (b).

“the Amendment (No. 12) Regulations” means the Russia (Sanctions) (EU Exit) (Amendment) (No. 12) Regulations 2022;

“transferable security” has the same meaning as it has in regulation 16 (dealing with transferable securities or money-market instruments).]

Textual Amendments

[F183Trade: exceptions relating to non-government controlled areas of the Donetsk and Luhansk oblastsU.K.

60ZA.—(1) Paragraphs (2) to (5) only apply in the case of trade relating to non-government controlled areas of the Donetsk and Luhansk oblasts.

(2) A prohibition in regulation 47 (imports from non-government controlled Ukrainian territory) or regulation 52(3)(a) (financial services and funds in relation to imports from non-government controlled Ukrainian territory) is not contravened by any act done by a person (“P”) in satisfaction of an obligation of P arising under a contract concluded before 23rd February 2022, or an ancillary contract necessary for the satisfaction of such a contract, provided that—

(a)the act is carried out before 24th May 2022, and

(b)P has notified the Secretary of State no later than the day 10 working days before the day on which the act is carried out.

(3) A prohibition in [F184Chapter 2 of Part 5 in so far as it is applied to non-government controlled Ukrainian territory by regulation 53A or Chapter 2A of Part 5 (goods and technology relating to non-government controlled Ukrainian territory),] regulation 48 to 51, 52(1), (2) or (3)(b) to (e), or 53 (trade in relation to non-government controlled Ukrainian territory) is not contravened by any act done by a person (“P”) in satisfaction of an obligation of P arising under a contract concluded before 23rd February 2022, or an ancillary contract necessary for the satisfaction of such a contract, provided that—

(a)the act is carried out before 24th August 2022, and

(b)P has notified the Secretary of State no later than the day five working days before the day on which the act is carried out.

(4) A prohibition in [F184Chapter 2 of Part 5 in so far as it is applied to non-government controlled Ukrainian territory by regulation 53A or Chapter 2A of Part 5 (goods and technology relating to non-government controlled Ukrainian territory),] regulation 54(1)(a) (prohibition on infrastructure-related services relating to non-government controlled Ukrainian territory) is not contravened by any act done by a person in satisfaction of an obligation of that person arising under a contract concluded before 23rd February 2022, or an ancillary contract necessary for the satisfaction of such a contract, provided that the act is carried out before 24th August 2022.

(5) A prohibition in [F184Chapter 2 of Part 5 in so far as it is applied to non-government controlled Ukrainian territory by regulation 53A or Chapter 2A of Part 5 (goods and technology relating to non-government controlled Ukrainian territory),] regulation 54(1)(b) (prohibition on tourism services relating to non-government controlled Ukrainian territory) is not contravened by any act done by a person (“P”) in satisfaction of an obligation of P arising under a contract concluded before 23rd February 2022, or an ancillary contract necessary for the satisfaction of such a contract, provided that—

(a)the act is carried out before 24th August 2022, and

(b)P has notified the Secretary of State no later than the day five working days before the day on which the act is carried out.]

Textual Amendments

[F185Trade: exceptions in relation to personal effects etc.U.K.

60A.—(1) The prohibitions in regulations 22 (export of restricted goods), 24(1)(a) (supply and delivery of restricted goods), 25(1)(a) and (b) (making restricted goods and restricted technology available), 26(1)(a) and (b) (transfer of restricted technology), and 27 to 29 (technical assistance, financial services etc. and brokering services) are not contravened by a relevant activity in relation to any critical-industry goods [F186, critical-industry technology, quantum computing and advanced materials goods or quantum computing and advanced materials technology] which are—

(a)the personal effects of a person travelling to Russia,

(b)of a non-commercial nature for the personal use of a person travelling to Russia and contained in that person’s luggage, or

(c)necessary for the official purposes of a diplomatic mission or consular post in Russia, or of an international organisation enjoying immunities in accordance with international law.

[F187(1A) The prohibitions in regulation 46B (luxury goods) are not contravened by a relevant activity in relation to—

(a)any luxury goods which are necessary for the official purposes of a diplomatic mission or consular post in Russia, or of an international organisation enjoying immunities in accordance with international law, or

(b)the personal effects of their staff.]

[F188(1B) The prohibitions in Chapter 4H (G7 dependency and further goods list goods) are not contravened by a relevant activity in relation to—

(a)any G7 dependency and further goods list goods which are necessary for the official purposes of a diplomatic mission or consular post in Russia, or an international organisation enjoying immunities in accordance with international law, or

(b)the personal effects of their staff.

(1C) The prohibitions in Chapter 4J (Gold) are not contravened by a relevant activity in relation to—

(a)any gold which is necessary for the official purposes of a diplomatic mission or consular post in Russia, or an international organisation enjoying immunities in accordance with international law, or

(b)the personal effects of their staff.]

(2) For the purposes of [F189paragraphs (1), (1A), (1B) and (1C)]—

“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963F190, and any reference to the functions of a consular post is to be read in accordance with that Convention;

“critical-industry goods” has the meaning given in regulation 21 (interpretation of Part 5);

“critical-industry technology” has the meaning given in regulation 21 (interpretation of Part 5);

“diplomatic mission”, and any reference to the functions of a diplomatic mission, is to be read in accordance with the Vienna Convention on Diplomatic Relations done at Vienna on 18 April 1961F191;

[F192“G7 dependency and further goods list goods” has the meaning given in regulation 21 (interpretation of Part 5);

“Gold” has the meaning given in regulation 21 (interpretation of Part 5);]

[F193“luxury goods” has the meaning given in regulation 21 (interpretation of Part 5);]

[F193“quantum computing and advanced materials goods” has the meaning given in regulation 21 (interpretation of Part 5);]

[F193“quantum computing and advanced materials technology” has the meaning given in regulation 21 (interpretation of Part 5);]

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in [F194paragraphs (1), (1A), (1B) and (1C)].

Textual Amendments

F190United Nations Treaty Series, vol. 596, p.261.

F191United Nations Treaty Series, vol. 500, p.95.

Trade: exceptions in relation to consumer communication devices and software updatesU.K.

60B.—(1) The prohibitions in regulations 22 (export of restricted goods), 24(1)(a) (supply and delivery of restricted goods), 25(1)(a) and (b) (making restricted goods and restricted technology available), 26(1)(a) and (b) (transfer of restricted technology), F195... 27 to 29 (technical assistance, financial services etc. and brokering services) [F196and regulation 46B (luxury goods)] are not contravened by a relevant activity in relation to critical-industry goods [F197, critical industry technology or luxury goods] which are—

(a)consumer communication devices for civilian use, or

(b)software updates for civilian use.

(2) For the purposes of paragraph (1)—

(a)“consumer communication devices” has the meaning given in Schedule 2B;

“critical-industry goods” has the meaning given in regulation 21 (interpretation of Part 5);

“critical-industry technology” has the meaning given in regulation 21 (interpretation of Part 5);

[F198“luxury goods” has the meaning given in regulation 21 (interpretation of Part 5);]

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in that paragraph;

(b)

goods are “for civilian use” if they are not—

(i)

for use by the Russian military or any other military end-user, or

(ii)

for any military use;

(c)

technology is “for civilian use” if it—

(i)

does not relate to activities carried on or proposed to be carried on by the Russian military or any other military end user, and

(ii)

is not for any military use.

Textual Amendments

Trade: exceptions in relation to aircraft and vesselsU.K.

60C.—(1) For the purposes of regulations 22 (export of restricted goods) and 28 (financial services and funds), the removal of an aircraft or vessel from the United Kingdom to Russia is not an export of critical-industry goods [F199or aviation and space goods], provided that the following conditions are met—

(a)the aircraft or vessel is removed under its own power,

(b)in the case of an aircraft, it—

(i)is carrying goods or passengers when removed, or

(ii)is removed in order to undertake a journey carrying goods or passengers, and

(c)the removal of the aircraft or vessel is not for the purpose of—

(i)a transfer of ownership of the aircraft or vessel or any of its component parts, or

(ii)a change of the operator of the aircraft or vessel.

(2) The prohibitions in regulations 24(1)(a) (supply and delivery of restricted goods), 25(1)(a) and (b) (making restricted goods and restricted technology available), 26(1)(a) and (b) (transfer of restricted technology), and 27 to 29 (technical assistance, financial services etc. and brokering services) are not contravened by any of the following activities, to the extent that the activity is done in connection with a qualifying removal—

(a)the supply or delivery of critical-industry goods [F200or aviation and space goods];

(b)making [F201critical-industry goods, aviation and space goods, critical-industry technology or aviation and space technology] available;

(c)the transfer of critical-industry technology [F202or aviation and space technology];

(d)the provision of technical assistance or financial services;

(e)the making available of funds;

(f)the provision of any brokering service.

[F203(2AA) The prohibition in regulation 27(1)(a) is not contravened by the provision of technical assistance in relation to an aircraft owned, chartered or operated by a person connected with Russia, at a UK airport provided the assistance is not for the purposes of facilitating—

(a)a transfer of ownership of the aircraft or any of its component parts; or

(b)a change in the operator of the aircraft.]

[F204(2A) The prohibitions in regulation 29A (insurance and reinsurance services relating to aviation and space goods and aviation and space technology) are not contravened by the provision of insurance or reinsurance services, to the extent that such services are provided in connection with a qualifying removal.]

(3) In this regulation—

[F205“aviation and space goods” has the meaning given in regulation 21 (interpretation of Part 5);

“aviation and space technology” has the meaning given in regulation 21 (interpretation of Part 5);]

“critical-industry goods” has the meaning given in regulation 21 (interpretation of Part 5);

“critical-industry technology” has the meaning given in regulation 21 (interpretation of Part 5);

“operator”, in relation to an aircraft or vessel, means the person having the management of the aircraft;

“qualifying removal” means a removal of an aircraft or vessel from the United Kingdom to Russia in relation to which the conditions set out in paragraph (1) are met.]

Textual Amendments

[F206Trade: exception relating to the safety of aircraft and shipsU.K.

60D.—(1) The prohibitions in regulation 46A (technical assistance relating to aircraft and ships) are not contravened by the provision of any technical assistance where a failure to provide that assistance would endanger—

(a)the lives of persons on board—

(i)an aircraft, or

(ii)a ship;

(b)the safety of—

(i)an aircraft in flight, or

(ii)a ship at sea.

(2) In this regulation, the following terms have the same meaning as they have in regulation 46A—

“aircraft”;

“ship”;

“technical assistance”.]

Textual Amendments

[F207Trade: exception relating to professional and business servicesU.K.

60DA.—(1) The prohibitions in regulation 54C (professional and business services) are not contravened by any act done by a person (“P”)—

(a)in satisfaction of an obligation—

(i)in respect of the provision of professional and business services by P to a person connected with Russia where those services are provided in relation to the discharge or compliance with UK statutory or regulatory obligations, such obligations not arising under contract;

(ii)arising under a contract concluded before 20th July 2022, or an ancillary contract necessary for the satisfaction of such a contract, provided that—

(aa)the act is carried out before the end of the period of one month beginning with the day on which this regulation comes into force;

(bb)P has notified the Secretary of State no later than the day 10 working days before the day on which the act is carried out;

(b)that is necessary for the official purposes of a diplomatic mission or consular post in Russia, or of an international organisation enjoying immunities in accordance with international law.

(2) For the purposes of this regulation, “diplomatic mission” and “consular post” are to be construed in accordance with paragraph A1 of Schedule 5.]

Textual Amendments

[F208Trade: exceptions in relation to maritime goods and maritime technologyU.K.

60E.—(1) The prohibitions in Chapter 2 of Part 5—

(a)in so far as they relate to maritime goods, do not apply to the sale, supply, making available or export of such goods, or to the related provision of technical and financial services, funds and brokering necessary for a purpose specified in paragraph (2);

(b)in so far as they relate to maritime technology, do not apply to the sale, supply, making available, transfer or export of such technology, or to the related provision of technical and financial assistance, necessary for a purpose specified in paragraph (2).

(2) The purposes are—

(a)non-military use by a non-military end-user;

(b)humanitarian assistance activity;

(c)addressing a health emergency;

(d)the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or on the environment; or

(e)providing a response to a natural disaster.

(3) For the purposes of this regulation—

“humanitarian assistance activity” is to be construed in accordance with paragraph A1 of Schedule 5;

“maritime goods” and “maritime technology” respectively have the meanings given in regulation 21 (interpretation of Part 5).

Textual Amendments

Trade: exceptions in relation to banknotesU.K.

60F.—(1) Subject to paragraph (2), the prohibitions in Chapter 4E of Part 5 do not apply to the making available, supply, export or delivery of banknotes where the making available, supply, export or delivery is necessary for the personal use of natural persons travelling to Russia or members of their immediate families travelling with them.

(2) The exception in paragraph (1) applies only to banknotes up to the value of £10,000 or its equivalent in any official currency of the European Union.

(3) The prohibitions in Chapter 4E of Part 5 do not apply to the making available, supply, export or delivery of banknotes where the making available, supply, export or delivery is necessary for the official purposes of diplomatic missions, consular posts or international organisations in Russia enjoying immunities in accordance with international law.

(4) The prohibitions in Chapter 4E of Part 5 do not apply to anything done by a person who did not know and had no reasonable cause to suspect that the banknotes were ultimately—

(a)to be exported, supplied, delivered or made available to a person connected with Russia; or

(b)for use in Russia.

(5) For the purposes of this regulation, “diplomatic mission” and “consular post” are to be construed in accordance with paragraph A1 of Schedule 5.

Textual Amendments

Trade: exception in relation to certain revenue generating goods consigned from RussiaU.K.

60G.—(1) The prohibitions in Chapter 4G of Part 5 do not apply to, or in relation to, revenue generating goods which are—

(a)consigned from Russia before 23rd June 2022; and

(b)imported into the United Kingdom before 10th July 2022.

(2) For the purposes of paragraph (1)(a), goods are deemed to have been consigned from Russia at the time when—

(a)they have completed the applicable export formalities, and

(b)where the goods were transported by—

(i)land, they have left Russia;

(ii)sea, the ship on which they were transported has departed a port in Russia for a destination outside Russia;

(iii)air, the aircraft on which they were transported has departed an airport in Russia for a destination outside Russia.]

Textual Amendments

[F209Trade: exception in relation to oil and oil productsU.K.

60H.—(1) The prohibitions in Chapter 4I (Oil and Oil Products) are not contravened by a relevant activity in relation to any oil and oil products which—

(a)originate in a country that is not Russia,

(b)are not owned by a person connected with Russia, and

(c)are only being loaded in, departing from or transiting through Russia.

(2) For the purposes of paragraph (1)—

“oil and oil products” has the meaning given in regulation 21(1) (interpretation of Part 5);

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in paragraph (1).

Textual Amendments

Trade: exceptions in relation to Energy-related GoodsU.K.

60I.—(1) The prohibitions in regulations 44 (financial services relating to energy-related goods) and 45 (brokering services: non-UK activity relating to energy-related goods) are not contravened in relation to the provision of insurance or reinsurance to a relevant person with regard to that person’s activities outside the energy sector in Russia.

(2) The prohibitions in Chapter 4 (energy-related goods and related activities) are not contravened by a relevant activity that is necessary for the purposes of a UK petroleum project.

(3) In this regulation—

“energy related goods” has the meaning given in regulation 21(1) (interpretation of Part 5);

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in paragraphs (1) and (2);

“relevant person” means a person who is not a person connected with Russia;

“UK petroleum project” means an oil or gas exploration or production project that is wholly or partially located within—

(a)

the United Kingdom;

(b)

waters adjacent to the United Kingdom up to the seaward limits of the territorial sea, or the seabed and subsoil below them;

(c)

areas from time to time designated under section 1(7) of the Continental Shelf Act 1964 (designation of areas of continental shelf), and any waters within the limits of such areas.]

Textual Amendments

Trade: exception for emergencies in certain casesU.K.

61.—[F210(1) The prohibitions specified in paragraph (1A) are not contravened by any act done by a person (“P”), where P provides justification to the Secretary of State within the relevant period that the act is an act dealing with an emergency.

(1A) Paragraph (1) applies to the prohibitions—

(a)in regulations 40 to 46 (prohibitions relating to energy-related goods etc.) and [F211regulations 48 to 54 (prohibitions relating to infrastructure in non-government controlled Ukrainian territory etc.)];

(b)in regulations 22 (export of restricted goods), 24(1)(a), (supply and delivery of restricted goods), 25(1)(a) and (b) (making available of restricted goods and restricted technology), 26(1)(a) and (b) (transfer of restricted technology), and 27 to 29 (technical assistance, financial services etc. and brokering services) so far as they apply to [F212critical-industry goods, aviation and space goods, [F213oil refining goods,] critical-industry technology [F214, aviation and space technology or oil refining technology];]

[F215(c)in regulation 29A (insurance and reinsurance services relating to aviation and space goods and aviation and space technology).]

[F216(d)in regulation 46Y (G7 dependency and further goods list goods);

(e)regulation 54C (Professional and business services)]]

(2) In this regulation—

“an act dealing with an emergency” means an act assisting with the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health or safety, infrastructure or the environment;

[F217“aviation and space goods” has the meaning given in regulation 21 (interpretation of Part 5);

“aviation and space technology” has the meaning given in regulation 21 (interpretation of Part 5);]

[F218“critical-industry goods” has the meaning given in regulation 21 (interpretation of Part 5);

“critical-industry technology” has the meaning given in regulation 21 (interpretation of Part 5);]

[F219“oil refining goods” has the meaning given in regulation 21 (interpretation of Part 5);]

[F219“oil refining technology” has the meaning given in regulation 21 (interpretation of Part 5);]

“relevant period”, in relation to an act, means the period of 5 working days beginning with the day on which the act is done.

Textual Amendments

F211Words in reg. 61(1A)(a) substituted (30.3.2022 at 5.00 p.m.) by The Russia (Sanctions) (EU Exit) (Amendment) (No. 7) Regulations 2022 (S.I. 2022/395), regs. 1(2), 26

Commencement Information

I50Reg. 61 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F220Trade: exception for humanitarian assistance activity in non-government controlled areas of the Donetsk and Luhansk oblastsU.K.

61ZA.—(1) A relevant prohibition is not contravened by a person (“P”) carrying out a relevant activity which is necessary to ensure the timely delivery of humanitarian assistance activity in non-government controlled areas of the Donetsk and Luhansk oblasts provided that P believes that carrying out the relevant activity is so necessary and there is no reasonable cause for P to suspect otherwise.

(2) For the purposes of this regulation—

“humanitarian assistance activity” includes the work of international and non-governmental organisations carrying out relief activities for the benefit of the civilian population of the non-government controlled areas of the Donetsk and Luhansk oblasts;

“relevant activity” means any activity which would, in the absence of this regulation, contravene a relevant prohibition;

“relevant prohibition” means—

(a)

any prohibition in regulations 48 to 51, 52(1), (2) or (3)(b) to (e) (trade in relation to non-government controlled Ukrainian territory), or 54(1)(a) (prohibition on infrastructure-related services relating to non-government controlled Ukrainian territory), or

(b)

any prohibition in regulation 53(1)(b) to (g) (brokering services: non-UK activity relating to infrastructure-related goods and goods from non-government controlled Ukrainian territory), except for any such prohibition which relates to an arrangement whose object or effect is the import of goods which originate in non-government controlled Ukrainian territory.]

Textual Amendments

[F221Ships: exceptions from prohibition on port entryU.K.

61A.—(1) The prohibition in regulation 57A(1) (prohibition on port entry) is not contravened by providing a ship with access to a port if—

(a)a port entry direction has been given in relation to the ship under regulation 57C (movement of ships), or

(b)the access is needed by the ship in a case of emergency.

(2) The prohibition in regulation 57A(2) is not contravened by the entry into port of a ship if—

(a)a port entry direction has been given in relation to the ship under regulation 57C, or

(b)the entry is needed by the ship in a case of emergency.]

Textual Amendments

[F222Aircraft: exceptions from prohibitionsU.K.

61B.—(1) The prohibition in regulation 57J(1)(b) (movement of aircraft) is not contravened by the landing of a Russian aircraft in the United Kingdom if failing to land would endanger the lives of persons on board or the safety of the aircraft.

(2) The prohibition in regulation 57J(1)(a) is not contravened by the flight of a Russian aircraft in the airspace over the United Kingdom preparatory to a landing as mentioned in paragraph (1).

(3) The directions in regulation 57J(3) to (9) are not contravened by conduct necessary to—

(a)avoid endangering the lives of persons on board or the safety of the aircraft,

(b)protect the safety of another aircraft, or

(c)protect the safety of persons on the ground.

F223(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F224(4A) The prohibition in regulation 57J(1) is not contravened by the movement of a Russian aircraft if—

(a)a direction has been given in relation to that aircraft under regulation 57J(3)(b), (5)(b) or (6)(c), and

(b)the movement of the aircraft is in accordance with that direction.]

(5) In this regulation, “Russian aircraft” has the same meaning as in regulation 57J.]

Textual Amendments

Exception relating to trade restrictions in relation to [F225non-government controlled Ukrainian territory] U.K.

62.—(1) A prohibition in [F226Chapter 2 of Part 5 in so far as it is applied to non-government controlled Ukrainian territory by regulation 53A or Chapter 2A of Part 5 (goods and technology relating to non-government controlled Ukrainian territory),] [F227regulation 47 (imports from non-government controlled Ukrainian territory) or regulation 52(3)(a) (financial services and funds in relation to imports from non-government controlled Ukrainian territory)] is not contravened by any action in relation to goods which—

(a)originate in [F228non-government controlled Ukrainian territory], and

(b)are the subject of a certificate of origin.

(2) In this regulation a “certificate of origin” means a document issued by the Government of Ukraine or a person acting on behalf of the Government of Ukraine confirming that the goods originate in Ukraine.

Textual Amendments

Commencement Information

I51Reg. 62 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F229Exception for authorised conduct in a relevant countryU.K.

62A.—(1) Where a person's conduct in a relevant country would, in the absence of this regulation, contravene a prohibition in any of regulations 11 to 15 (asset-freeze etc.) [F230, 16 (securities and money market instruments), 17 (loans and credit arrangements), 17A (correspondent banking relationships etc.)] [F231, 18 (investments in relation to non-government controlled Ukrainian territory)] [F232, 18A (provision of foreign reserve and asset management services) and 18B (investments in relation to Russia)] or [F233Chapters 2 to 6 and Chapter 6B] of Part 5 (Trade) (“the relevant prohibition”), the relevant prohibition is not contravened if the conduct is authorised by a licence or other authorisation which is issued—

(a)under the law of the relevant country, and

(b)for the purpose of disapplying a prohibition in that jurisdiction which corresponds to the relevant prohibition.

(2) In this regulation—

“relevant country” means—

(a)

any of the Channel Islands,

(b)

the Isle of Man, or

(c)

any British overseas territory.]

Textual Amendments

Exception for acts done for purposes of national security or prevention of serious crimeU.K.

63.—(1) Where an act would, in the absence of this paragraph, be prohibited by regulation 9(2) [F234or 9B(2)] (confidentiality) or any prohibition in Part 3 (Finance) or 5 (Trade), or under or by virtue of Part 6 (Ships) [F235or Part 6A (Aircraft)] that prohibition does not apply to the act if the act is one which a responsible officer has determined would be in the interests of—

(a)national security, or

(b)the prevention or detection of serious crime in the United Kingdom or elsewhere.

(2) Where, in the absence of this paragraph, a thing would be required to be done under or by virtue of a provision of Part 8 (Information and records) or Part 10 (Maritime enforcement), that requirement does not apply if a responsible officer has determined that not doing the thing in question would be in the interests of—

(a)national security, or

(b)the prevention or detection of serious crime in the United Kingdom or elsewhere.

(3) In this regulation “responsible officer” means a person in the service of the Crown or holding office under the Crown, acting in the course of that person's duty.

Textual Amendments

Commencement Information

I52Reg. 63 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Treasury licencesU.K.

64.—(1) The prohibitions in regulations 11 to 15 (asset-freeze etc.) [F236, 16 (securities and money market instruments), 17 (loans and credit arrangements), 17A (correspondent banking relationships etc.)] [F237, [F23818 (investments in relation to non-government controlled Ukrainian territory)] [F239, 18A (provision of foreign reserve and asset management services) and 18B (investments in relation to Russia)]] do not apply to anything done under the authority of a licence issued by the Treasury under this paragraph.

[F240(1A) Without prejudice to the generality of the powers conferred by paragraph (1), a licence issued by the Treasury under paragraph (1) may, in particular, authorise acts which would otherwise be prohibited by any of [F241regulations 11 to 18B] for a particular period beginning with—

(a)the coming into force of the prohibition, or

(b)where the prohibition relates to a person designated for the purposes of regulations 11 to 15, or regulation 17A, the date on which the person was designated.]

(2) The Treasury may issue a licence which authorises acts by a particular person only—

(a)in the case of acts which would otherwise be prohibited by regulations 11 to 15, where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 1 of Schedule 5, F242...

[F243(aa)in the case of acts which would otherwise be prohibited by regulation 17, where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 1A of Schedule 5,

(ab)in the case of acts which would otherwise be prohibited by regulation 17A, where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 1B of Schedule 5,

(ac)in the case of acts which would otherwise be prohibited by regulation 17A(2) (processing sterling payments), where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 1C of Schedule 5, F244...]

(b)in the case of acts which would otherwise be prohibited by regulation 18, where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 2 of Schedule 5 [F245, F246...]

[F247(c)in the case of acts which would otherwise be prohibited by regulation 18A (provision of foreign exchange reserve and asset management services), where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 1D of [F248Schedule 5, and]]

[F249(d)in the case of acts which would otherwise be prohibited by regulation 18B (investments in relation to Russia), where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 3 of Schedule 5.]

[F250(3) Part A1 of Schedule 5 has effect for the interpretation of terms in that Schedule.]

Textual Amendments

Commencement Information

I53Reg. 64 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Trade licencesU.K.

65.  The prohibitions in [F251Chapters 2 to 6 and Chapter 6B] of Part 5 (Trade) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.

Textual Amendments

Commencement Information

I54Reg. 65 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F252Aircraft licencesU.K.

65A.  The prohibition in regulation 57J(1) (prohibition on overflight or landing) does not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.]

Textual Amendments

Licences: general provisionsU.K.

66.—(1) This regulation applies in relation to Treasury licences [F253, trade licences and aircraft licences].

(2) A licence must specify the acts authorised by it.

(3) A licence may be general or may authorise acts by a particular person or persons of a particular description.

(4) A licence may —

(a)contain conditions;

(b)be of indefinite duration or a defined duration.

(5) A person who issues a licence may vary, revoke or suspend it at any time.

(6) A person who issues, varies, revokes or suspends a licence which authorises acts by a particular person must give written notice to that person of the issue, variation, revocation or suspension of the licence.

(7) A person who issues, varies, revokes or suspends a general licence or a licence which authorises acts by persons of a particular description must take such steps as that person considers appropriate to publicise the issue, variation, revocation or suspension of the licence.

Textual Amendments

Commencement Information

I55Reg. 66 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Finance: licensing offencesU.K.

67.—(1) A person (“P”) commits an offence if P knowingly or recklessly—

(a)provides information that is false in a material respect, or

(b)provides or produces a document that is not what it purports to be,

for the purpose of obtaining a Treasury licence (whether for P or anyone else).

(2) A person who purports to act under the authority of a Treasury licence but who fails to comply with any condition of the licence commits an offence.

Commencement Information

I56Reg. 67 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Trade: licensing offencesU.K.

68.—(1) A person (“P”) commits an offence if P knowingly or recklessly—

(a)provides information that is false in a material respect, or

(b)provides or produces a document that is not what it purports to be,

for the purpose of obtaining a trade licence (whether for P or anyone else).

(2) A person who purports to act under the authority of a trade licence but who fails to comply with any condition of the licence commits an offence.

(3) A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.

Commencement Information

I57Reg. 68 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F254Aircraft: licensing offencesU.K.

68A.—(1) A person (“P”) commits an offence if P knowingly or recklessly—

(a)provides information that is false in a material respect, or

(b)provides or produces a document that is not what it purports to be,

for the purpose of obtaining an aircraft licence (whether for P or anyone else).

(2) A person who purports to act under the authority of an aircraft licence but who fails to comply with any condition of the licence commits an offence.

(3) A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.]

Textual Amendments

Section 8B(1) to (3) of Immigration Act 1971: directionsU.K.

69.—(1) The Secretary of State may direct that, in relation to any person within regulation 20 whose name is specified, or who is of a specified description, section 8B(1) and (2) of the Immigration Act 1971, or section 8B(3) of that Act, have effect subject to specified exceptions.

(2) A direction under this regulation—

(a)may contain conditions.

(b)must be of a defined duration (and that duration may be expressed in any way, including, for example, being expressed in a way such that the direction ceases to have effect on, or within a specified period after, the occurrence of a specified event).

(3) The Secretary of State may vary, revoke or suspend a direction under this regulation at any time.

(4) On the issue, variation, revocation or suspension of a direction under this regulation, the Secretary of State may take such steps as the Secretary of State considers appropriate to publicise the issue, variation, revocation or suspension of the direction.

(5) In this regulation “specified” means specified in a direction under this regulation.

Commencement Information

I58Reg. 69 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

PART 8U.K.Information and records

Finance: reporting obligationsU.K.

70.—(1) A relevant firm must inform the Treasury as soon as practicable if—

(a)it knows, or has reasonable cause to suspect, that a person—

(i)is a designated person, or

(ii)has committed an offence under any provision of Part 3 (Finance) or regulation 67 (finance: licensing offences), and

(b)the information or other matter on which the knowledge or cause for suspicion is based came to it in the course of carrying on its business.

(2) Where a relevant firm informs the Treasury under paragraph (1), it must state—

(a)the information or other matter on which the knowledge or suspicion is based, and

(b)any information it holds about the person by which the person can be identified.

(3) Paragraph (4) applies if—

(a)a relevant firm informs the Treasury under paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and

(b)that person is a customer of the relevant firm.

(4) The relevant firm must also state the nature and amount or quantity of any funds or economic resources held by it for the customer at the time when it first had the knowledge or suspicion.

(5) A relevant institution must inform the Treasury without delay if that institution—

(a)credits a frozen account in accordance with regulation 58(4) (finance: exceptions from prohibitions), or

(b)transfers funds from a frozen account in accordance with regulation 58(6).

(6) A person who fails to comply with a requirement in paragraph (1), (2) or (4) commits an offence.

(7) In this regulation—

“designated person” has the same meaning as it has in Chapter 1 of Part 3 (Finance);

“frozen account” has the same meaning as it has in regulation 58;

“relevant firm” is to be read in accordance with regulation 71;

“relevant institution” has the same meaning as it has in regulation 58.

Commencement Information

I59Reg. 70 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

“Relevant firm”U.K.

71.—(1) The following are relevant firms for the purposes of regulation 70—

(a)a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (permission to carry on regulated activity);

(b)an undertaking that by way of business—

(i)operates a currency exchange office,

(ii)transmits money (or any representation of monetary value) by any means, or

(iii)cashes cheques that are made payable to customers;

(c)a firm or sole practitioner that is—

(i)a statutory auditor within the meaning of Part 42 of the Companies Act 2006 (statutory auditors) M18, or

(ii)a local auditor within the meaning of section 4(1) of the Local Audit and Accountability Act 2014 (general requirements for audit) M19;

(d)a firm or sole practitioner that provides to other persons, by way of business—

(i)accountancy services,

(ii)legal or notarial services,

(iii)advice about tax affairs, or

(iv)trust or company services within the meaning of paragraph (2);

(e)a firm or sole practitioner that carries out, or whose employees carry out, estate agency work;

(f)the holder of a casino operating licence within the meaning given by section 65(2)(a) of the Gambling Act 2005 (nature of a licence) M20;

(g)a person engaged in the business of making, supplying, selling (including selling by auction) or exchanging—

(i)articles made from gold, silver, platinum or palladium, or

(ii)precious stones or pearls.

(2) In paragraph (1) “trust or company services” means any of the following services—

(a)forming companies or other legal persons;

(b)acting, or arranging for another person to act—

(i)as a director or secretary of a company,

(ii)as a partner of a partnership, or

(iii)in a similar capacity in relation to other legal persons;

(c)providing a registered office, business address, correspondence or administrative address or other related services for a company, partnership or any other legal person or arrangement;

(d)acting, or arranging for another person to act, as—

(i)a trustee of an express trust or similar legal arrangement, or

(ii)a nominee shareholder for a person.

(3) In paragraph (1)—

“estate agency work” is to be read in accordance with section 1 of the Estate Agents Act 1979 M21, but as if references in that section to disposing of or acquiring an interest in land included (despite anything in section 2 of that Act) references to disposing of or acquiring an estate or interest in land outside the United Kingdom where that estate or interest is capable of being owned or held as a separate interest;

“firm” means any entity that, whether or not a legal person, is not an individual, and includes a body corporate and a partnership or other unincorporated body.

(4) Paragraph (1)(a) and (b) is to be read with section 22 of the Financial Services and Markets Act 2000, any relevant order under that section and Schedule 2 to that Act.

(5) For the purposes of regulation 70(1), information or another matter comes to a relevant firm “in the course of carrying on its business” if the information or other matter comes to the firm—

(a)in the case of a relevant firm within paragraph(1)(a), in the course of carrying on an activity in respect of which the permission mentioned in that provision is required;

(b)in the case of a relevant firm within paragraph (1)(c)(i), in the course of carrying out statutory audit work within the meaning of section 1210 of the Companies Act 2006 (meaning of statutory auditor) M22;

(c)in the case of a relevant firm within paragraph (1)(c)(ii), in the course of carrying out an audit required by the Local Audit and Accountability Act 2014;

(d)in the case of a relevant firm within paragraph (1)(f), in the course of carrying on an activity in respect of which the licence mentioned in that provision is required;

(e)in the case of a relevant firm within any other provision of paragraph (1), in the course of carrying on an activity mentioned in that provision.

Commencement Information

I60Reg. 71 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M22Section 1210 has been amended by S.I. 2017/516, S.I. 2017/1164, S.I. 2008/565 and S.I. 2008/1950.

Finance: powers to request informationU.K.

72.—(1) The Treasury may request a designated person to provide information about—

(a)funds or economic resources owned, held or controlled by or on behalf of the designated person, or

(b)any disposal of such funds or economic resources.

(2) The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure—

(a)by the designated person, or

(b)for the benefit of the designated person.

(3) For the purposes of paragraph (2), expenditure for the benefit of a designated person includes expenditure on the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

(4) The power in paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of any provision of Part 3 (Finance).

(5) The Treasury may request a person acting under a Treasury licence to provide information about—

(a)funds or economic resources dealt with under the licence,

(b)funds, economic resources or financial services made available under the licence, or

(c)any matter to which a licence relates, where that licence authorises an act that would otherwise be prohibited under regulation [F255, 16 (securities and money market instruments), 17 (loans and credit arrangements), 17A (correspondent banking relationships etc.)] [F256, [F25718 (investments in relation to non-government controlled Ukrainian territory)] [F258, 18A (provision of foreign reserve and asset management services) or 18B (investments in relation to Russia)].]

(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 3 (Finance)—

(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, financial services or economic resources 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)monitoring compliance with or detecting evasion of—

(i)any provision of Part 3,

(ii)regulation 70 (finance: reporting obligations), or

(iii)any condition of a Treasury licence;

(c)detecting or obtaining evidence of the commission of an offence under Part 3 or regulation 67 (finance: licensing offences) or 70 (finance: reporting obligations).

(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 [F259Chapter 1 of] Part 3.

Textual Amendments

Commencement Information

I61Reg. 72 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Finance: production of documentsU.K.

73.—(1) A request under regulation 72 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 the Treasury request a designated person or a person acting under a Treasury licence 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 Chapter 1 of Part 3 (Finance).

Commencement Information

I62Reg. 73 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Finance: information offencesU.K.

74.—(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 72 (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 72 or 73 (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 72 or 73.

(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.

Commencement Information

I63Reg. 74 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Trade: application of information powers in CEMAU.K.

75.—(1) Section 77A of CEMA M23 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 M24 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;

(c)any reference to goods were to the goods, technology, services or funds to which the relevant activity relates.

(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 Chapters 2 to [F2606B] of Part 5 (Trade), except any prohibition on imports or exports, or

(b)which would constitute a contravention of the prohibition in regulation 55(1) (circumventing etc. prohibitions).

Textual Amendments

Commencement Information

I64Reg. 75 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M23Section 77A was inserted by the Finance Act 1987 (c.16), section 10 and amended by S.I. 1992/3095.

M24S.I. 1991/2724 as amended by S.I. 1992/3095, S.I. 1993/3014 and S.I. 2011/1043 and is prospectively revoked by S.I. 2018/1247.

General trade licences: recordsU.K.

76.—(1) This regulation applies in relation to a person (“P”) who does any act authorised by a general licence issued under regulation 65 (trade licences) (“the licence”).

(2) P must keep a register or record containing such details as may be necessary to allow the following information [F261, where appropriate,] 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;

(c)the date of the act or the dates between which the act took place;

(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.

Textual Amendments

Commencement Information

I65Reg. 76 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

General trade licences: inspection of recordsU.K.

77.—(1) A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 76(4) for the purposes of monitoring compliance with or detecting evasion of regulation 76(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 76, 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.

Commencement Information

I66Reg. 77 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F262Internet services: power to request information and produce documentsU.K.

77A.—(1) OFCOM may request a person to provide information within paragraph (2) if OFCOM believe that the person may be able to provide the information.

(2) Information within this paragraph is such information as OFCOM may reasonably require for the purpose of monitoring compliance with or detecting evasion of regulation 54A (preventing provision of certain internet services to or for the benefit of designated persons).

(3) OFCOM may specify the way in which, and the period within which, information is to be provided.

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

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

(6) A request may include a request to produce specified documents or documents of a specified description.

(7) Where OFCOM request that documents be produced, OFCOM 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 past or present officer or employee of the body concerned,

to give such an explanation.

Textual Amendments

Internet services: information offencesU.K.

77B.—(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 77A;

(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 77A, destroys, mutilates, defaces, conceals or removes any document;

(d)otherwise intentionally obstructs OFCOM in the exercise of their powers under regulation 77A.

(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.]

Textual Amendments

Disclosure of informationU.K.

78.—(1) The Secretary of State, the Treasury [F263, OFCOM] or the Commissioners may, in accordance with this regulation, disclose—

(a)any information obtained under or by virtue of Part 7 (Exceptions and licences), this Part or Part 10 (Maritime enforcement), or

(b)any information held in connection with—

(i)anything done under or by virtue of Part 2 (Designation of persons), Part 3 (Finance), Part 5 (Trade), Part 6 (Ships) [F264or Part 6A (Aircraft)], or

(ii)any exception or licence under Part 7 or anything done in accordance with such an exception or under the authority of such a licence.

(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;

(c)facilitating, monitoring or ensuring compliance with 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 Part 5 on imports or exports, F265...

(iii)in relation to a monetary penalty under section 146 of the Policing and Crime Act 2017 (breach of financial sanctions legislation); [F266or]

[F267(iv)in relation to a monetary penalty under regulation 88A (OFCOM: power to impose monetary penalties).]

(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 M25;

(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;

(c)any law officer of the Crown for Jersey, Guernsey or the Isle of Man;

(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) consider 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)the reference to a licence under Part 7 includes—

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

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

Textual Amendments

Commencement Information

I67Reg. 78 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M25Section 1(8) of the Act defines an “international obligation” as an obligation of the United Kingdom created or arising by or under any international agreement.

[F268Finance: disclosure to the TreasuryU.K.

78A.—(1) A relevant public authority may disclose information to the Treasury if the disclosure is made for the purpose of enabling or assisting the Treasury to discharge any of its functions in connection with sanctions.

(2) In this regulation—

“relevant public authority” means—

(a)

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,

(b)

any local authority,

(c)

any police officer,

(d)

the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England or any other regulatory body in the United Kingdom, or

(e)

any other person exercising functions of a public nature;

“local authority” means—

(a)

in relation to England—

(i)

a county council,

(ii)

a district council,

(iii)

a London Borough council,

(iv)

the Common Council of the City of London in its capacity as a local authority,

(v)

the Council of the Isles of Scilly, or

(vi)

an eligible parish council within the meaning of section 1(2) of the Local Government Act 2000,

(b)

in relation to Wales, a county council, a county borough council or a community council,

(c)

in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994, or

(d)

in relation to Northern Ireland, a district council.]

Textual Amendments

Part [F2698]: supplementaryU.K.

79.—(1) A disclosure of information under regulation 78 [F270or 78A] does not breach any restriction on such disclosure imposed by statute or otherwise.

(2) But nothing in [F271those 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 M26.

(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) [F272Regulations 78 and 78A do] not limit the circumstances in which information may be disclosed apart from [F273those regulations].

(5) Nothing in this Part limits any conditions which may be contained in a Treasury licence or a trade licence.

(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) M27;

“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.

Textual Amendments

F269Word in reg. 79 heading substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(8); S.I. 2020/1514, reg. 4

Commencement Information

I68Reg. 79 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M272018 c.12. There are amendments to this Act that are not relevant to these Regulations.

PART 9U.K.Enforcement

Penalties for offencesU.K.

80.—(1) A person who commits an offence under any provision of Part 3 (Finance), regulation 67 (finance: licensing offences), [F27457 (Crimean ports direction or Donetsk ports direction), 57A (prohibition on port entry), 57B(4) (directions prohibiting port entry), 57C(3) (movement of ships) or 57N(1) to (4) (aircraft offences)] is liable—

(a)on summary conviction in England and Wales, to imprisonment for a term not exceeding 12 months 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 5 (Trade) is liable—

(a)on summary conviction in England and Wales, to imprisonment for a term not exceeding 12 months 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) [F275or 9B(6)] (confidentiality), 68 (trade: licensing offences), [F27668A (aircraft: licensing offences),] 76(6) (general trade licences: records) or 77(5) (general trade licences: inspection of records) is liable—

(a)on summary conviction in England and Wales, to imprisonment for a term not exceeding 12 months 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 [F27757B(6) (directions prohibiting port entry: confidentiality), 57C(5) (movement of ships: confidentiality), 57N(5) (aircraft: confidentiality),] 70(6) or 74 (information offences in connection with Part 3) [F278, or 77B (internet services: information offences)] 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 [F2792nd May 2022] the reference in each of paragraphs (1)(a), (2)(a) and (3)(a) to 12 months is to be read as a reference to 6 months.

Textual Amendments

Commencement Information

I69Reg. 80 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Liability of officers of bodies corporate etc.U.K.

81.—(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.

Commencement Information

I70Reg. 81 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Jurisdiction to try offencesU.K.

82.—(1) Where an offence under regulation 9(6) [F280or 9B(6)] (confidentiality), Part 3 (Finance), regulation 67 (finance: licensing offences) [F281, 68A (aircraft: licensing offences)] [F282,] regulation 70(6) or 74 (information offences in connection with Part 3) [F283, or 77B (internet services: information offences)] 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) M28.

Textual Amendments

Commencement Information

I71Reg. 82 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

Procedure for offences by unincorporated bodiesU.K.

83.—(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 M29 and Schedule 3 to the Magistrates' Courts Act 1980 M30;

(ii)section 18 of the Criminal Justice Act (Northern Ireland) 1945 M31 and Article 166 of, and Schedule 4 to, the Magistrates' Courts (Northern Ireland) Order 1981 M32.

(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.

Commencement Information

I72Reg. 83 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M291925 c.8, as amended by Statute Law (Repeals) Act 2004 (c.14), section 1(1) and (3) and Schedule 1(17)(11), para. 1. Other amendments have been made to section 33 that are not relevant to these Regulations.

M301980 c.43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

Time limit for proceedings for summary offencesU.K.

84.—(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) M33 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.

Commencement Information

I73Reg. 84 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M33There have been no amendments to section 136(3).

Trade enforcement: application of CEMAU.K.

85.—(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 M34.

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

(a)Part 5 (Trade),

(b)regulation 68 (trade: licensing offences),

(c)regulation 76(6) (general trade licences: records), or

(d)regulation 77(5) (general trade licences: inspection of records).

(4) Section 138 of CEMA M35 (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 M36 (legal proceedings).

Commencement Information

I74Reg. 85 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M34The definition of “assigned matter” in section 1(1) of CEMA was amended by the Commissioners for Revenue and Customs Act 2005 (c.11), Schedule 4, paragraph 22(a), the Scotland Act 2012 (c. 11), section 24(7), the Wales Act 2014 (c.29), section 7(1).

M35Section 138 of CEMA was amended by; the Police and Criminal Evidence Act 1984 (c. 60), section 114(1), Schedule 6, paragraph 37, and Part 1 of Schedule 7;, the Finance Act 1988 (c. 39), section 11; the Serious and Organised Crime Act 2005 (c. 15), Part 4 of Schedule 7, paragraph 54,; S.I 1989/1341; and S.I. 2007/288.

M36Section 145 of CEMA was amended by the Police and Criminal Evidence Act 1984, section 114(1), the Commissioners for Revenue and Customs Act 2005, Schedule 4, paragraph 23(a), and S.I. 2014/834. Section 147 was amended by the Criminal Justice Act 1982 (c. 48), Schedule 14, paragraph 42, the Finance Act 1989, section 16(2), and the Criminal Justice Act 2003, Part 2 of Schedule 3, paragraph 50. Section 152 was amended by the Commissioners for Revenue and Customs Act 2005, Schedule 4, paragraph 26, and Schedule 5. Section 155 was amended by the Commissioners for Revenue and Customs Act 2005, Schedule, 4, paragraph 27, and Schedule 5.

Trade offences in CEMA: modification of penaltyU.K.

86.—(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 regulations 23 [F284, 46D] [F285, 46S] [F286, 46Z4, 46Z11, 46Z18] [F287, 46T] or 47(1) (imports).

(2) Where this paragraph applies, the reference to 7 years in section 50(4)(b) of CEMA M37 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 regulations 22(1), F288... [F28930B, 40(1), 46B(1), 46N(1),] [F29046Y(1)] or 48 (exports).

(4) Where this paragraph applies, the reference to 7 years in section 68(3)(b) of CEMA M38 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 22(1), 23, F291... [F29230B, 40(1), 46B(1), 46D, 46N(1), 46S], [F29346Y(1), 46Z4, 46Z11, 46Z18] 47(1) or 48 (exports and imports).

(6) Where this paragraph applies, the reference to 7 years in section 170(3)(b) of CEMA M39 is to be read as a reference to 10 years.

Textual Amendments

Commencement Information

I75Reg. 86 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M37The words “7 years” were inserted in section 50(4)(b) of CEMA by the Finance Act 1988, section 12.

M38The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.

M39The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.

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

87.  Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) M40 applies to any offence under Part 3 (Finance) or regulation 67 (finance: licensing offences).

Commencement Information

I76Reg. 87 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M402005 c.15, as amended by Schedule 3, para. 4 of the Act.

Monetary penaltiesU.K.

88.  Each provision in Part 5 (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 M41.

Commencement Information

I77Reg. 88 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

[F294OFCOM: power to impose monetary penaltiesU.K.

88A.—(1) OFCOM may impose a monetary penalty on a person if they are satisfied, on the balance of probabilities, that—

(a)the person has failed to comply with a requirement that is imposed under regulation 54A (internet services), or

(b)the person has failed to comply with an obligation that is imposed by or under regulation 77A (internet services: power to request information and produce documents).

(2) The amount of the penalty is to be such amount as OFCOM may determine, not exceeding £1,000,000.

(3) Any monetary penalty payable under this regulation is recoverable by OFCOM as a civil debt.

(4) Any monetary penalty received by OFCOM by virtue of this regulation must be paid into the Consolidated Fund.

Textual Amendments

OFCOM: monetary penalties: procedural rightsU.K.

88B.—(1) Before imposing a monetary penalty on a person under regulation 88A, OFCOM must inform the person of their intention to do so.

(2) OFCOM must also—

(a)explain the grounds for imposing the penalty,

(b)specify the amount of the penalty,

(c)explain that the person is entitled to make representations, and

(d)specify the period within which any such representations must be made.

(3) If (having considered any representations), OFCOM decides to impose the penalty, OFCOM must inform the person of their decision.

(4) A person to which the decision relates may appeal to the Upper Tribunal against the decision.

(5) On an appeal under paragraph (4), the Upper Tribunal may—

(a)dismiss the appeal,

(b)quash OFCOM’s decision to impose the penalty, or

(b)uphold that decision but substitute a different amount for the amount determined by OFCOM.]

Textual Amendments

PART 10U.K.Maritime enforcement

Exercise of maritime enforcement powersU.K.

89.—(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

(c)a foreign ship in international waters,

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 22 to 26 (trade sanctions relating to [F295restricted goods and restricted technology]);

F296(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)a prohibition in any of regulations 40 to 42 (trade sanctions relating to energy-related goods);

[F297(ca)a prohibition in regulation 46B (trade sanctions relating to luxury goods);

(cb)a prohibition in either of regulations 46D and 46E (trade sanctions relating to iron and steel products);]

[F298(cc)a prohibition in regulation 46Y (trade sanctions relating to G7 dependency and further goods list goods);

(cd)a prohibition in either of regulation 46Z4 or 46Z5 (trade sanctions relating to oil and oil products);

(ce)a prohibition in either of regulations 46Z11 and 46Z12 (trade sanctions relating to gold);

(cf)a prohibition in either of regulations 46Z18 and 46Z19 (trade sanctions relating to coal and coal products);]

(d)a prohibition in any of [F299regulation 47 to 50 (exports and imports etc. in relation to non-government controlled Ukrainian territory)];

(e)a prohibition imposed by a condition of a trade licence in relation to a prohibition mentioned in sub-paragraph (a) to (d).

(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 91 and 92.

(5) This regulation is subject to regulation 93 (restrictions on exercise of maritime enforcement powers).

Textual Amendments

Commencement Information

I78Reg. 89 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Maritime enforcement officersU.K.

90.—(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 M42);

(c)a constable—

(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 M43, 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 M44,

(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 M45;

(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 M46, or a person appointed to act as a constable under provision made by virtue of section 16 of the Harbours Act 1964 M47;

(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) M48;

(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 M49 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.

Commencement Information

I79Reg. 90 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M421987 c.4. Section 1 was amended by; paragraph 41 of Schedule 7 to the Police Act 1996 (c.16); paragraph 16 of Schedule 4 to the Police (Northern Ireland) Act 1998 (c.32); section 78(2) of the Police (Northern Ireland) Act 2000 (c.32); section 79(3) of the Police Reform Act 2002 (c.30); and by S.I. 2013/602.

M432012 asp.8 (Scottish Act).

M441996 c.16. Section 27 was amended by paragraphs 22 and 26 of Schedule 16(1) to the Police Reform and Social Responsibility Act 2011 (c.13).

M451847 c.27. Section 79 was amended by S.I. 2006/2167.

M471964 c.40. Section 16 was amended by; section 29(2) of the Wales Act 2017 (c.4); S.I. 1999/672; and S.I. 1970/1681.

M482009 c.11. Designated customs officials are designated, as either a general customs official or a customs revenue official, under sections 8 and 11 of this Act respectively.

Power to stop, board, search etc.U.K.

91.—(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 92, 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.

Commencement Information

I80Reg. 91 in force on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Seizure powerU.K.

92.—(1) This regulation applies if a maritime enforcement officer is lawfully on a relevant ship (whether in exercise of the powers conferred by regulation 91 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 91(3)(a)(ii).

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

Commencement Information

I81Reg. 92 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Restrictions on exercise of maritime enforcement powersU.K.

93.—(1) The authority of the Secretary of State is required before any maritime enforcement power is exercised in reliance on regulation 89 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) 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) only if—

(a)the home state has requested the assistance of the United Kingdom for a purpose mentioned in regulation 89(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.

Commencement Information

I82Reg. 93 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Interpretation of [F300Part 10] U.K.

94.—(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 [F301regulation 89(2)(a) to (e)].

Textual Amendments

F301Words in reg. 94(2) substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(9); S.I. 2020/1514, reg. 4

Commencement Information

I83Reg. 94 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

PART 11U.K.Supplementary and final provision

NoticesU.K.

95.—(1) This regulation applies in relation to a notice required by regulation 66 (licences: 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

(c)by leaving it for the individual at that place.

(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”—

    (a)

    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, and

    (b)

    in 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.

Commencement Information

I84Reg. 95 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Article 20 of the Export Control Order 2008U.K.

96.  Article 20 of the Export Control Order 2008 (embargoed destinations) is not to be taken to prohibit anything prohibited by Part 5 (Trade).

Commencement Information

I85Reg. 96 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Trade: overlapping offencesU.K.

97.  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 5 (Trade) or regulation 68 (trade: licensing offences), 76(6) (general trade licences: records) or 77(5) (general trade licences: inspection of records).

Commencement Information

I86Reg. 97 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Revocations of relevant retained EU lawU.K.

98.  The following are revoked—

(a)Council Regulation (EU) No 269/2014 of 17 March 2014 (concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine) M50;

(b)Council Regulation (EU) No 692/2014 of 23 June 2014 (concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol) M51;

(c)Council Regulation (EU) No 833/2014 of 31 July 2014 (concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine) M52.

Commencement Information

I87Reg. 98 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M50OJ L 78, 17.3.2014, p. 6–15

M51OJ L 183 24.6.2014, p. 9

M52OJ L 229, 31.7.2014, p. 1–11

Other revocations and amendmentsU.K.

99.—(1) The Ukraine Financial Sanctions Regulations are revoked.

(2) The Export Control (Russia, Crimea and Sevastopol Sanctions) Order 2014 M53 is revoked.

Commencement Information

I88Reg. 99 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M53S.I. 2014/2357, as amended by S.I. 2014/2932, S.I. 2015/97 and SI 2015/1933.

Transitional provision: Treasury licencesU.K.

100.—(1) Paragraphs (2) to (4) apply to a licence which—

(a)was granted, or deemed to be granted, by the Treasury under the Ukraine Financial Sanctions Regulations,

(b)was in effect immediately before [F302IP completion day], and

(c)authorises an act which would (on and after [F302IP completion day], and in the absence of paragraphs (2) to (4)) be prohibited by Part 3 (Finance),

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

(2) An existing financial sanctions licence has effect on and after [F302IP completion day] as if it had been issued by the Treasury under regulation 64(1) (Treasury licences).

(3) Any reference in an existing financial sanctions licence to the Ukraine Financial Sanctions Regulations is to be treated on and after [F302IP completion day] as a reference to these Regulations.

(4) Any reference in an existing financial sanctions licence to a prohibition in—

(a)the Ukraine Financial Sanctions Regulations, or

(b)the EU Russia Regulations,

is to be treated on and after [F302IP completion day] as a reference to the corresponding prohibition in Part 3 (Finance).

(5) Paragraph (6) applies where—

(a)an application for a licence, or for the variation of a licence, under the Ukraine Financial Sanctions Regulations was made before [F302IP completion day],

(b)the application is for authorisation of acts which would (on and after [F302IP completion day]) be prohibited by Part 3, and

(c)a decision to grant or refuse the application has not been made before that date.

(6) The application is to be treated on and after [F302IP completion day] as an application for a licence, or for the variation of a licence (as the case may be), under regulation 64(1) (Treasury licences).

Textual Amendments

F302Words in reg. 100 substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(10); S.I. 2020/1514, reg. 4

Commencement Information

I89Reg. 100 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Transitional provision: trade licencesU.K.

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

(a)was in effect immediately before [F303IP completion day], 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 [F303IP completion day], and in the absence of paragraph (2)) be prohibited by Part 5 (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 on [F303IP completion day] under regulation 65 (trade licences)—

(a)disapplying every provision of Part 5 (Trade) 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 [F303IP completion day], F304...

[F305(aa)is not an existing trade licence, and]

(b)authorises an act—

(i)which would otherwise be prohibited by the EU Russia Regulations, and

(ii)which would (on or after [F303IP completion day]), and in the absence of Paragraphs (4) to (6), be prohibited by Part 5 (Trade),

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 [F303IP completion day] as if it were a licence which had been issued by the Secretary of State under regulation 65 (trade licences).

(5) Any reference in an existing trade sanctions licence to a provision of the Export Control (Russia, Crimea and Sevastopol Sanctions) Order 2014 or the Export Control Order 2008 is to be treated on and after [F303IP completion day] 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 Russia Regulations is to be treated on and after [F303IP completion day] as a reference to the corresponding prohibition in Part 5 (Trade).

Textual Amendments

F303Words in reg. 101 substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(11)(a); S.I. 2020/1514, reg. 4

F304Word in reg. 101(3) omitted (31.12.2020 immediately after IP completion day) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(11)(b)(i); S.I. 2020/1514, reg. 4

Commencement Information

I90Reg. 101 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Transitional provision: pending applications for trade licencesU.K.

102.—(1) Paragraph (2) applies where—

(a)an application was made before [F306IP completion day] 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 5 (Trade), and

(c)a decision to grant or refuse the application has not been made before [F306IP completion day].

(2) The application is to be treated on and after [F306IP completion day] as including an application for a licence under regulation 65 (trade licences).

(3) Paragraph (4) applies where—

(a)an application was made before [F306IP completion day] for a licence or authorisation under the Export Control (Russia, Crimea and Sevastopol Sanctions) Order 2014 or the EU Russia Regulations,

(b)the application is for authorisation of an act prohibited by Part 5 (Trade), and

(c)a decision to grant or refuse the application has not been made before [F306IP completion day].

(4) The application is to be treated on and after [F306IP completion day] as an application for a licence under regulation 65 (trade licences).

Textual Amendments

F306Words in reg. 102 substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(12); S.I. 2020/1514, reg. 4

Commencement Information

I91Reg. 102 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Transitional provision: prior obligationsU.K.

103.—(1) Where—

(a)a person was named in an Annex to the EU Russia Regulations immediately before [F307IP completion day], and

(b)the person is a designated person immediately before [F307IP completion day],

any reference in a provision mentioned in paragraph (2) to the date on which a person became a designated person is a reference to the date on which the person was named in an Annex to the EU Russia Regulations.

(2) The provisions referred to in paragraph (1) are—

(a)regulation 58(5) (finance: exceptions from prohibitions),

(b)paragraph 6 of Schedule 5 (pre-existing judicial decisions), and

(c)paragraph 8 of Schedule 5 (prior obligations).

(3) In this regulation, “designated person” has the same meaning as it has in Chapter 1 of Part 3 (finance restrictions in relation to designated persons).

Textual Amendments

F307Words in reg. 103 substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(13); S.I. 2020/1514, reg. 4

Commencement Information

I92Reg. 103 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Alan Duncan

Minister of State

Foreign and Commonwealth Office

SCHEDULES

Regulations 7(3) and 16(8)

SCHEDULE 1U.K.Rules for interpretation of regulations 7(2) and 16(7)

Application of ScheduleU.K.

1.—(1) The rules set out in the following paragraphs of this Schedule apply for the purpose of interpreting regulations 7(2) and 16(7).

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

Commencement Information

I93Sch. 1 para. 1 in force at 11.4.2019, see reg. 1(3)(e)

Joint interestsU.K.

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

Commencement Information

I94Sch. 1 para. 2 in force at 11.4.2019, see reg. 1(3)(e)

Joint arrangementsU.K.

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.

Commencement Information

I95Sch. 1 para. 3 in force at 11.4.2019, see reg. 1(3)(e)

Calculating shareholdingsU.K.

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.

Commencement Information

I96Sch. 1 para. 4 in force at 11.4.2019, see reg. 1(3)(e)

Voting rightsU.K.

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.

Commencement Information

I97Sch. 1 para. 5 in force at 11.4.2019, see reg. 1(3)(e)

6.  In applying regulations 7(2) and 16(7) and this Schedule, the voting rights in a person are to be reduced by any rights held by the person itself.U.K.

Commencement Information

I98Sch. 1 para. 6 in force at 11.4.2019, see reg. 1(3)(e)

Rights to appoint or remove members of the boardU.K.

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.

Commencement Information

I99Sch. 1 para. 7 in force at 11.4.2019, see reg. 1(3)(e)

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.U.K.

Commencement Information

I100Sch. 1 para. 8 in force at 11.4.2019, see reg. 1(3)(e)

Shares or rights held “indirectly”U.K.

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.

Commencement Information

I101Sch. 1 para. 9 in force at 11.4.2019, see reg. 1(3)(e)

Shares held by nomineesU.K.

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).

Commencement Information

I102Sch. 1 para. 10 in force at 11.4.2019, see reg. 1(3)(e)

Rights treated as held by person who controls their exerciseU.K.

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

(c)with that person's consent or concurrence.

Commencement Information

I103Sch. 1 para. 11 in force at 11.4.2019, see reg. 1(3)(e)

12.  “Arrangement” includes—U.K.

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

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

Commencement Information

I104Sch. 1 para. 12 in force at 11.4.2019, see reg. 1(3)(e)

Rights exercisable only in certain circumstances etc.U.K.

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 M54

(b)administration within the meaning of the Insolvency (Northern Ireland) Order 1989 M55, 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.

Commencement Information

I105Sch. 1 para. 13 in force at 11.4.2019, see reg. 1(3)(e)

Marginal Citations

Rights attached to shares held by way of securityU.K.

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.

Commencement Information

I106Sch. 1 para. 14 in force at 11.4.2019, see reg. 1(3)(e)

Regulations 16, 17 and 59

SCHEDULE 2U.K.Persons named in relation to financial restrictions

1.  SberbankU.K.

Commencement Information

I107Sch. 2 para. 1 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

2.  VTB bankU.K.

Commencement Information

I108Sch. 2 para. 2 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

3.  GazprombankU.K.

Commencement Information

I109Sch. 2 para. 3 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

4.  Vnesheconombank (VEB)U.K.

Commencement Information

I110Sch. 2 para. 4 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

5.  RosselkhozbankU.K.

Commencement Information

I111Sch. 2 para. 5 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

6.  OPK OboronpromU.K.

Commencement Information

I112Sch. 2 para. 6 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

7.  United Aircraft CorporationU.K.

Commencement Information

I113Sch. 2 para. 7 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

8.  UralvagonzavodU.K.

Commencement Information

I114Sch. 2 para. 8 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

9.  RosneftU.K.

Commencement Information

I115Sch. 2 para. 9 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

10.  TransneftU.K.

Commencement Information

I116Sch. 2 para. 10 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

11.  Gazprom NeftU.K.

Commencement Information

I117Sch. 2 para. 11 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Regulation 21

[F308SCHEDULE 2AU.K.Critical-industry goods and critical-industry technology

Textual Amendments

PART 1U.K.

InterpretationU.K.

1.—(1) A thing is specified in this Schedule if it is specified in Parts 2 to 8, and a reference in any note in this Schedule to a thing being “controlled” or subject to “controls” is to be read as a reference to it being specified.

(2) In this Schedule, defined terms are printed in quotation marks.

(3) Terms printed in quotation marks and not defined in this Schedule have the meaning given to them in—

(a)Schedules 2 and 3 of the Export Control Order 2008, or

(b)Annex I of the Dual-Use Regulation,

as applicable.

2.—(1) In this Schedule—

[F309“controlled materials” means controlled energetic materials specified in 1C011, 1C111, 1C239 of Annex I of the Dual-Use Regulation and ML8 in Schedule 2 to the Export Control Order 2008;]

“dynamic adaptive routing” means automatic rerouting of traffic based on sensing and analysis of current actual network conditions, but does not include cases of routing decisions taken on predefined information;

“fluoride fibres” means fibres manufactured from bulk fluoride compounds;

“hybrid computer” means equipment that can—

(a)

accept data,

(b)

process data, in both analogue and digital representation, and

(c)

provide output of data;

“media access unit” means equipment that contains one or more communication interfaces (“network access controller”, “communications channel controller”, modem or computer bus) to connect terminal equipment to a network;

“stored program controlled” means a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions, and equipment may be “stored program controlled” whether the electronic storage is internal or external to the equipment;

“terminal interface equipment” means equipment at which information enters or leaves the telecommunication systems, for example a telephone, data device, computer, or facsimile device.

(2) For the purposes of this Schedule, the interpretative notes set out in Table 1 apply.

Table 1
Interpretative notes
“multi-data-stream processing” refers to the “microprogram” or equipment architecture technique that permits simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as:

Single Instruction Multiple Data (SIMD) architectures such as vector or array processors;

Multiple Single Instruction Multiple Data (MSIMD) architectures;

Multiple Instruction Multiple Data (MIMD) architectures, including those that are tightly coupled, closely coupled or loosely coupled;

structured arrays of processing elements, including systolic arrays.

“data signalling rate” means the rate, as defined in International Telecommunications Union Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal.

Bits for coding, checking and synchronization functions are to be included.

When determining the “data signalling rate”, servicing and administrative channels shall be excluded.

It is the maximum one-way rate, i.e., the maximum rate in either transmission or reception.

“spectral efficiency” is a figure of merit parametrized to characterize the efficiency of transmission system that uses complex modulation schemes such as QAM (quadrature amplitude modulation), Trellis coding, QSPK (Q-phased shift key), etc.. It is defined as the Digital transfer rate (bits/second) divided by 6dB spectrum bandwidth (Hz).

Textual Amendments

[F310PART 1AU.K.Special materials and related equipment

Textual Amendments

Microorganisms and Toxins

ItemRegulation 53A applies?
1B999 Specific processing equipment as follows:
a. Electrolytic cells for fluorine “production”;
b. Particle accelerators;
c. Industrial process control hardware/systems designed for power industries;
d. Freon and chilled water-cooling systems capable of continuous cooling duties of 100,000 BTU/hr (29.3 kW) or greater;
e. Equipment for the “production” of structural composites, fibres, prepregs and preforms.
1C990 Fibrous and filamentary materials for “use” in “composite” structures and with a specific modulus of 3.18 x 106 m or greater and a specific tensile strength of 7.62 x 104 m or greater.Yes
1C992 Commercial charges and devices containing energetic materials, and nitrogen trifluoride in a gaseous state.Yes
Note: For the purposes of this entry the mass of the non-controlled substance in any ‘mixture’ is omitted when determining the total mass of the controlled material.

These items are as follows:

a. Shaped charges specially designed for oil well operations, utilising one charge functioning along a single axis, that upon detonation produce a hole, and

a.1. Contain any formulation of controlled materials;

a.2. Have only a uniform shaped conical liner with an included angle of 90 degrees or less;

a.3. Contain more than 0.010 kg but less than or equal to 0.090 kg of “controlled materials”; and

a.4. Have a diameter not exceeding 4.5 inches;

Yes
b. Shaped charges specially designed for oil well operations containing less than or equal to 0.010 kg of controlled materials;Yes
c. Detonation cord or shock tubes containing less than or equal to 0.064 kg per meter (300 grains per foot) of controlled materials;Yes
d. Cartridge power devices, that contain less than or equal to 0.70 kg of controlled materials in the deflagration material;Yes
e. Oil well cartridges, that contain less than or equal to 0.015 kg of “controlled materials”;Yes
f. Commercial prefabricated slurries and emulsions containing less than or equal to 10.0 kg and less than or equal to thirty-five percent by weight of materials controlled by ML8 in Schedule 2 of the Export Control Order 2008;Yes
g. Cutters and severing tools containing less than or equal to 3.5 kg of controlled materials;Yes
h. Pyrotechnic devices when designed exclusively for commercial purposes (e.g., theatrical stages, motion picture special effects, and fireworks displays) and containing less than or equal to 3.0 kg of controlled materials;Yes

i. Other commercial explosive devices and charges not controlled by 1C992.a to.h. containing less than or equal to 1.0 kg of controlled materials.

Note: 1C992.i includes automotive safety devices; extinguishing systems; cartridges for riveting guns; explosive charges for agricultural, oil and gas operations, sporting goods, commercial mining, or public works purposes; and delay tubes used in the assembly of commercial explosive devices.

Yes
j. Nitrogen trifluoride (NF3) in a gaseous state - Nitrogen trifluoride (CAS RN 7783-54-2)
1C996 Hydraulic fluids containing synthetic hydrocarbon oils, having all the following characteristics:Yes

a. A flash point exceeding 477 K (204 degrees C);

b. A pour point at 239 K ( -34 degrees C) or less;

c. A viscosity index of 75 or more; and

d. A thermal stability at 616 K (343 degrees C).

1C997 Ammonium nitrate, including fertilisers and fertiliser blends containing more than 15% by weight ammonium nitrate, except liquid fertilisers (containing any amount of ammonium nitrate) or dry fertilisers containing less than 15% by weight ammonium nitrate

1C998 Non fluorinated polymeric substances as follows:

a. Polyarylene ether ketones, as follows:

a.1 Polyether ether ketone (PEEK);

a.2. Polyether ketone ketone (PEKK);

a.3. Polyether ketone (PEK);

a.4. Polyether ketone ether ketone ketone (PEKEKK);

Yes
1C999 Specific materials, as follows:
a. Hardened steel and tungsten carbide precision ball bearings (3mm or greater diameter);Yes
b. 304 and 316 stainless steel plate;
c. Monel plate;
d. Tributyl phosphate;
e. Nitric acid in concentrations of 20 weight percent or greater;
f. Fluorine;
g. Alpha emitting radionuclides,
1D999 Specific software as follows:

a. “Software” specially designed for industrial process control hardware/systems controlled by 1B999;

b. “Software” specially designed for equipment for the “production” of structural composites, fibres, prepregs and preforms controlled by 1B999.

1E994 “Technology” for the “development”, “production”, or “use” of fibrous and filamentary materials controlled by 1C990.Yes

PART 1BU.K.MATERIALS PROCESSING

ItemRegulation 53A applies?

2A983 Explosives or detonator detection equipment, both bulk and trace based, consisting of an automated device, or combination of devices for automated decision making to detect the presence of different types of explosives, explosive residue, or detonators as follows and specifically designed components thereof:

Note: For the purpose of this entry, automated decision making is the ability of the equipment to detect explosives or detonators at the design or operator-selected level of sensitivity and provide an automated alarm when explosives or detonators at or above the sensitivity level are detected. This entry does not control equipment that depends on operator interpretation of indicators such as inorganic/organic colour mapping of the items(s) being scanned.

Note: Explosives or detonation detection equipment in 2A983 includes equipment for screening people, documents, baggage, other personal effects, cargo and/or mail.

a. Explosives detection equipment for automated decision making to detect and identify bulk explosives utilising, but not limited to, x-ray (e.g., computed tomography, dual energy, or coherent scattering), nuclear (e.g. thermal neutron analysis, pulse fast neutron analysis, pulse fast neutron transmission spectroscopy, and gamma resonance absorption), or electromagnetic techniques (e.g. quadropole resonance and dielectrometry).Yes
b. Detonator detection equipment for automated decision making to detect and identify initiation devices (e.g. detonators, blasting caps) utilising, but not limited to, x-ray (e.g. dual energy or computed tomography) or electromagnetic techniques.Yes

2A984 Concealed object detection equipment operating in the frequency range from 30 GHz to 3000 GHz and having a spatial resolution of 0.1 milliradian up to and including 1 milliradian at a standoff distance of 100 metres; and specially designed components thereof.

Note: Concealed object detection equipment includes but is not limited to equipment for screening people, documents, baggage, other personal effects, cargo and mail.

Technical Note: The range of frequencies span what is generally considered as the millimetre-wave, submillimetre-wave and terahertz frequency regions.

Yes
2A991 Bearings and bearing systems as follows:

This entry does not control balls with tolerance specified by the manufacturer in accordance with ISO 3290 as grade 5 or worse.

Note (1) (a) DN is the product of the bearing bore diameter in mm and the bearing rotational velocity in rpm.

(b) Operating temperatures include those temperatures obtained when a gas turbine engine has stopped after operation.

(2) Annular Bearing Engineers Committee (ABEC); American National Standards Institute (ANSI); Anti-Friction Bearing Manufacturers Association (AFBMA).

a. Ball bearings or solid ball bearings, having tolerances specified by the manufacturer in accordance with ABEC 7, ABEC 7P, or ABEC 7T or ISO Standard Class 4 or better (or equivalents) and having any of the following characteristics.Yes
a.1. Manufactured for “use” at operating temperatures above 573 K (300 degrees C) either by using special materials or by special heat treatment; or
a.2. With lubricating elements or component modifications that, according to the manufacturer’s specifications, are specially designed to enable the bearings to operate at speeds exceeding 2.3 million DN.
b. Solid tapered roller bearings, having tolerances specified by the manufacturer in accordance with ANSI/AFBMA Class 00 (inch) or Class A (metric) or better (or equivalents) and having any of the following characteristics.

b.1. With lubricating elements or component modifications that, according to the manufacturer’s specifications, are specially designed to enable the bearings to operate at speeds exceeding 2.3 million DN; or

b.2. Manufactured for “use” at operating temperatures below 219 K (54 degrees C) or above 423 K (150 degrees C).

c. Gas-lubricated foil bearing manufactured for “use” at operating temperatures of 561 K (288 °C) or higher and a unit load capacity exceeding 1 MPa.
d. Active magnetic bearing systems.Yes
e. Fabric-lined self-aligning or fabric-lined journal sliding bearings manufactured for “use” at operating temperatures below 219 K(-54 degrees C) or above 423 K (150 degrees C).
2A992 Piping, fittings and valves made of, or lined with stainless, copper-nickel alloy or other alloy steel containing 10% or more nickel and/or chromium as follows:
a. Pressure tube, pipe, and fittings of 200 mm (8 in.) or more inside diameter, and suitable for operation at pressures of 3.4 MPa (500 psi) or greater;

b. Pipe valves having all of the following characteristics that are not controlled by 2B350.g of Annex I of the Dual-Use Regulation;

b.1. A pipe size connection of 200 mm (8 in.) or more inside diameter; and

b.2. Rated at 10.3 MPa (1,500 psi) or more.

2A993 Pumps designed to move molten metals by electromagnetic forces.
2A994 Portable electric generators, weighing 2300 kg or less on wheels or transportable in a 2½ ton truck without a special set up requirement and specially designed components thereof.
2A999 Specific processing equipment as follows:
a. Bellows sealed valves;
TECHNICAL NOTES FOR 2B991 TO 2B999:
1. Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary axis the centre line of which is parallel to the primary rotary axis) are not counted in the total number of contouring axes. Rotary axes need not rotate over 360°. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-pinion).
2. The number of axes which can be coordinated simultaneously for “contouring control” is the number of axes along or around which, during processing of the workpiece, simultaneous and interrelated motions are performed between the workpiece and a tool. This does not include any additional axes along or around which other relative motions within the machine are performed, such as:
2.a. Wheel-dressing systems in grinding machines;Yes
2.b. Parallel rotary axes designed for mounting of separate workpieces;
2.c. Co-linear rotary axes designed for manipulating the same workpiece by holding it in a chuck from different ends.
3. Axis nomenclature shall be in accordance with International Standard ISO 841:2001, Industrial automation systems and integration - Numerical control of machines - Coordinate system and motion nomenclature.Yes
4. A “tilting spindle” is counted as a rotary axis.Yes
5. ‘Stated “unidirectional positioning repeatability”’ may be used for each specific machine model as an alternative to individual machine tests, and is determined as follows:Yes
5.a. Select five machines of a model to be evaluated;Yes
5.b. Measure the linear axis repeatability (R↑,R↓) according to ISO 230-2:2014 and evaluate “unidirectional positioning repeatability” for each axis of each of the five machines;Yes
5.c. Determine the arithmetic mean value of the “unidirectional positioning repeatability”-values for each axis of all five machines together. These arithmetic mean values “unidirectional positioning repeatability” ( ) become the stated value of each axis for the model...)( x, y, …);Yes
5.d. Since the Category 2 list refers to each linear axis there will be as many ‘stated “unidirectional positioning repeatability”’ values as there are linear axes;Yes
5.e. If any axis of a machine model not controlled by 2B001.a. to 2B001.c. has a ‘stated “unidirectional positioning repeatability”’ equal to or less than the specified “unidirectional positioning repeatability” of each machine tool model plus 0.7 µm, the builder should be required to reaffirm the accuracy level once every eighteen months.Yes
6. For the purpose of 2B, measurement uncertainty for the “unidirectional positioning repeatability” of machine tools, as defined in the International Standard ISO 230-2:2014, shall not be considered.Yes
7. For the purpose of 2B, the measurement of axes shall be made according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for axes longer than 2 meters shall be made over 2 m segments. Axes longer than 4 m require multiple tests (e.g., two tests for axes longer than 4 m and up to 8 m, three tests for axes longer than 8 m and up to 12 m), each over 2 m segments and distributed in equal intervals over the axis length. Test segments are equally spaced along the full axis length, with any excess length equally divided at the beginning, in between, and at the end of the test segments. The smallest “unidirectional positioning repeatability”-value of all test segments is to be reported.Yes
2B991 Numerical control units for machine tools and “numerically controlled” machine tools as follows:
a. Numerical control units for machine tools:
a.1. Having four interpolating axes that can be coordinated simultaneously for “contouring control”; or
a.2. Having two or more axes that can be coordinated simultaneously for contouring control and a minimum programmable increment better (less) than 0.001 mm;
a.3. “Numerical control” units for machine tools having two, three or four interpolating axes that can be coordinated simultaneously for contouring control and capable of receiving directly (online) and processing computer aided design (CAD) data for internal preparation of machine instructions; or
b. Motion control boards specially designed for machine tools and having any of the following characteristics:
b.1. Interpolation in more than four axes;
b.2. Capable of “real-time processing” of data to modify tool path, feed rate and spindle data, during the machining operation, by any of the following:
b.2.a. Automatic calculation and modification of part programme data for machining in two or more axes by means of measuring cycles and access to source data; or
b.2.b. “Adaptive control” with more than one physical variable measured and processed by means of a computing model (strategy) to change one or more machining instructions to optimise the process.
b.3. Capable of receiving and processing CAD data for internal preparation of machine instructions; or
c. “Numerically controlled” machine tools that, according to the manufacturer’s technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes and that have both of the following characteristics:
c.1. Two or more axes that can be coordinated simultaneously for contouring control; and
c.2. Positioning accuracies according to ISO 230/2 (2006), with all compensations available:
c.2.a. Better than 15 mm along any linear axis (overall positioning) for grinding machines;
c.2.b. Better than 15 mm along any linear axis (overall positioning) for milling machines; or
c.2.c. Better than 15 mm along any linear axis (overall positioning) for turning machines; or
d. Machine tools, as follows, for removing or cutting metals, ceramics or composites, that, according to the manufacturer’s technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes:
d.1. Machine tools for turning, grinding, milling or any combination thereof, having two or more axes that can be coordinated simultaneously for “contouring control” and having any of the following characteristics:

d.1.a. One or more contouring tilting spindles;

Note: 2B991.d.1.a. applies to machine tools for grinding or milling only.

d.1.b. Camming (axial displacement) in one revolution of the spindle less (better) than 0.0006 mm total indicator reading (TIR);

Note: 2B991.d.1.b. applies to machine tools for turning only.

d.1.c. Run out (out of true running) in one revolution of the spindle less (better) than 0.0006 mm total indicator reading (TIR);
d.1.d. The positioning accuracies with all compensations available, are less (better) than: 0.001° on any rotary axis;
d.2. Electrical discharge machines (EDM) of the wire feed type that have five or more axes that can be coordinated simultaneously for “contouring control”.Yes
2B992 Non “numerically controlled” machine tools for generating optical quality surfaces as follows and specially designed components therefor.
a. Turning machines using a single point cutting tool and having all of the following characteristics:
a.1. Slide positioning accuracy less (better) than 0.0005 mm per 300 mm of travel;
a.2. Bidirectional slide positioning repeatability less (better) than 0.00025 mm per 300 mm of travel;
a.3. Spindle “run out” and “camming” less (better) than 0.0004 mm total indicator reading (TIR);
a.4. Angular deviation of the slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel; and

a.5. Slide perpendicularity less (better) than 0.001 mm per 300 mm of travel;

Technical Note: The bidirectional slide positioning repeatability (R) of an axis is the maximum value of the repeatability of positioning at any position along or around the axis determined using the procedure and under the conditions specified in Part 2.11 of ISO 230/2: 1988.

b. Fly cutting machines having all of the following characteristics:
b.1. Spindle “run out” and “camming” less (better) than 0.0004 mm TIR; and
b.2. Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel.
2B993 Gearmaking and/or finishing machinery capable of producing gears to a quality level of better than AGMA 11.Yes

2B996 Dimensional inspection or measuring systems or equipment as follows.

a. Manual dimensional inspection machines, having both of the following characteristics:

a.1. Two or more axes; and

a.2. A measurement uncertainty equal to or less (better) than (3 + L/300) micrometre in any axes (L measured length in mm).

2B997 “Robots” that are capable of employing feedback information in real-time processing from one or more sensors to generate or modify “programs” or to generate or modify numerical program data.
2B998 Assemblies, circuit boards or inserts as follows specially designed for machine tools controlled by 2B991, or for equipment controlled by 2B993, 2B996 or 2B997.Yes
a. Spindle assemblies, consisting of spindles and bearings as a minimal assembly, with radial (“run out”) or axial (“camming”) axis motion in one revolution of the spindle less (better) than 0.0006 mm total indicator reading (TIR);

b. Single point diamond cutting tool inserts, having all of the following characteristics:

b.1. Flawless and chip free cutting edge when magnified 400 times in any direction;

b.2. Cutting radius from 0.1 to 5 mm inclusive; and

b.3. Cutting radius out of roundness less (better) than 0.002 mm TIR.

c. Specially designed printed circuit boards with mounted parts or components capable of upgrading, according to the manufacturer’s specifications, “numerical control” units, machine tools or feed-back devices to or above the levels specified in 2B991, 2B993, 2B996, 2B997, or 2B998.Yes
2B999 Specific processing equipment, as follows:
a. Isostatic presses;
b. Bellows manufacturing equipment, including hydraulic forming equipment and bellows forming dies;
c. Laser welding machines;
d. MIG welders;
e. E-beam welders;
f. Monel equipment, including valves, piping, tanks and vessels;

g. 304 and 316 stainless steel valves, piping, tanks and vessels;

Note: Fittings are considered part of “piping” for purposes of 2B999.g.

h. Mining and drilling equipment, as follows:
h.1. Large boring equipment capable of drilling holes greater than 60cm in diameter;
h.2. Large earth-moving equipment used in the mining industry;
i. Electroplating equipment designed for coating parts with nickel or aluminium;
j. Pumps designed for industrial service and for “use” with an electrical motor of 5 HP or greater;
k. Vacuum valves, piping, flanges, gaskets and related equipment specially designed for use in high-vacuum service;
l. Spin forming and flow forming machines;
m. Centrifugal multiplane balancing machines;
n. Austenitic stainless-steel plate, valves, piping, tanks and vessels.
2D983 “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by 2A983.
2D984 “Software” required for the “development”, “production” or “use” of concealed object detection equipment controlled by 2A984.Yes
2D991 “Software” specially designed for the “development”, “production” or “use” of equipment controlled by 2B991, 2B993, or 2B996, 2B997, and 2B998.Yes
2D992 Specific “software”, as follows (see List of Items Controlled).
a.1. For flexible manufacturing units (FMUs) which consist at least of
(1) A machine tool described in 2B001.c. of Annex I of the Dual-Use Regulation; and
(2) A dimensional inspection machine described in Category 2 of Annex I of the Dual-Use Regulation, or another digitally controlled measuring machine controlled by an entry in Category 2 of Annex I of the Dual-Use Regulation; andYes
a.2. Capable of generating or modifying, in “real-time processing”, programs or data by using the signals obtained simultaneously by means of at least two detection techniques, such as:Yes
a.2.a. Machine vision (optical ranging);

Yes

a.2.b. Infrared imaging;

Yes

a.2.c. Acoustical imaging (acoustical ranging);

Yes

a.2.d. Tactile measurement;

Yes

a.2.e. Inertial positioning;

Yes

a.2.f. Force measurement; and

Yes

a.2.g. Torque measurement.

Yes

Note: 2D992.a. does not control “software” which only provides rescheduling of functionally identical equipment within “flexible manufacturing units” using prestored part programs and a prestored strategy for the distribution of the part programs.
2D993 “Software” specially designed or modified for the “development”, “production” or “use” of items controlled by 2A992 or 2A993.
2D994 “Software” specially designed for the “development” or “production” of portable electric generators controlled by 2A994.
2E984 “Technology” required for the “development”, “production” or “use” of equipment controlled by 2A984 or required for the “development” of “software” controlled by 2D984.Yes
2E991 “Technology” for the use of equipment controlled by 2B991, 2B993, 2B996, or 2B997.
2E993 “Technology” according to the General Technology Note of Annex I of the Dual-Use Regulation for the “use” of equipment controlled by 2A992 or 2A993.
2E994 “Technology” for the “use” of portable electric generators controlled by 2A994.]

PART 2U.K.Electronics

3A991 Electronic devices and components
a. “Microprocessor microcircuits”, “microcomputer microcircuits”, and microcontroller microcircuits having any of the following:
a.1. A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25 MHz; or
a.3. More than one data or instruction bus or serial communication port that provides a direct external interconnection between parallel “microprocessor microcircuits” with a transfer rate of 2.5 Mbyte/s;
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories (EEPROMs) with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access time of less than 80 ns;
c. Analog-to-digital converters having any of the following:
c.1. A resolution of 8 bit or more, but less than 12 bit, with an output rate greater than 200 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 105 million words per second;
c.3. A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 10 million words per second; or
c.4. A resolution of more than 14 bit with an output rate greater than 2.5 million words per second;
d. Field programmable logic devices having a maximum number of single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated execution time for a 1,024 point complex FFT of less than 1 ms;
f. Custom integrated circuits for which either the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:
f.1. More than 144 terminals; or
f.2. A typical “basic gate propagation delay time” of less than 0.4 ns;
g. Traveling-wave “vacuum electronic devices,” pulsed or continuous wave, as follows:
g.1. Coupled cavity devices, or derivatives thereof;
g.2. Devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, having either of the following:
g.2.a. An “instantaneous bandwidth” of half an octave or more; and
g.2.b. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.2; or
g.2.c. An “instantaneous bandwidth” of less than half an octave; and
g.2.d. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding 40 GHz;
i. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (i.e., “signal processing” devices employing elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 dB;
i.2.b. A product of the maximum delay time and bandwidth (time in µs and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 µs;
j. Cells as follows:
j.1. Primary cells having an energy density of 550 Wh/kg or less at 293 K (20ºC);
j.2. Secondary cells having an energy density of 350 Wh/kg or less at 293 K (20ºC);

Note:3A991.j does not control batteries, including single cell batteries.

Technical Notes:

1. For the purposes of 3A991.j energy density (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms.

2. For the purposes of 3A991.j, a ‘cell’ is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery.

3. For the purposes of 3A991.j.1, a ‘primary cell’ is a ‘cell’ that is not designed to be charged by any other source.

4. For the purposes of 3A991.j.2, a ‘secondary cell’ is a ‘cell’ that is designed to be charged by an external electrical source.

k. “Superconductive” electromagnets or solenoids, specially designed to be fully charged or discharged in less than one minute, having all of the following:

Note: 3A991.k does not control “superconductive” electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment.

k.1. Maximum energy delivered during the discharge divided by the duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more than 250 mm; and
k.3. Rated for a magnetic induction of more than 8T or “overall current density” in the winding of more than 300 A/mm2;
l. Circuits or systems designed for electromagnetic energy storage, containing components manufactured from “superconductive” materials specially designed for operation at temperatures below the “critical temperature” of at least one of their “superconductive” constituents, having all of the following:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/m3 or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction and rated for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound semiconductor having an equivalent gate count of more than 300 (2 input gates);
o. “Space qualified” solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays.
3A992 General purpose electronic equipment, as follows:
a. Electronic test equipment;
b. Digital instrumentation magnetic tape data recorders having any of the following;
b.1. A maximum digital interface transfer rate exceeding 60 Mbit/s and employing helical scan techniques;
b.2. A maximum digital interface transfer rate exceeding 120 Mbit/s and employing fixed head techniques; or
b.3. “Space qualified”;
c. Equipment having a maximum digital interface transfer rate exceeding 60 Mbit/s and designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders;
d. Non-modular analogue oscilloscopes having a bandwidth of 1 GHz or greater;
e. Modular analogue oscilloscope systems having either of the following:
e.1. A mainframe with a bandwidth of 1 GHz or greater; or
e.2. Plug-in modules with an individual bandwidth of 4 GHz or greater;
f. Analogue sampling oscilloscopes for the analysis of recurring phenomena with an effective bandwidth greater than 4 GHz;

g. Digital oscilloscopes and transient recorders, using analogue-to-digital conversion techniques, capable of storing transients by sequentially sampling single-shot inputs at successive intervals of less than 1 ns (greater than 1 giga-sample per second), digitising to 8 bits or greater resolution and storing 256 or more samples.

Note: This entry controls the following components designed for analogue oscilloscopes:

1. Plug-in units;

2. External amplifiers;

3. Pre-amplifiers;

4. Sampling devices;

5. Cathode ray tubes.

3A999 Specific processing equipment as follows.
a. Frequency changers capable of operating in the frequency range from 300 up to 600 Hz;
b. Mass spectrometers;
c. All flash x-ray machines, and components of pulsed power systems designed therefor, including Marx generators, high power pulse shaping networks, high voltage capacitors, and triggers;
d. Pulse amplifiers;
e. Time delay generation or time interval measurement equipment, as follows:
e.1. Digital time delay generators having a resolution of 50 nanoseconds or less over time intervals of 1ms or greater; or
e.2. Multi-channel (three or more) or modular time interval meter and chronometry equipment having a resolution of 50 ns or less over time intervals of 1 ms or greater;
f. Chromatography and spectrometry analytical instruments
3B991 Equipment for the manufacture of electronic components and materials, and specially designed components therefor.
a. Equipment specially designed for the manufacture of electron tubes, optical elements and components controlled by entry 3A001 of Annex I of the Dual-Use Regulation, or entry 3A991;

b. Equipment for the manufacture of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment:

Note:3B991.b also controls equipment used or modified for use in the manufacture of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.

b.1. Equipment for the processing of materials for the manufacture of devices and components, as specified in the heading of 3B991.b, as follows:

Note:3B991 does not control quartz furnace tubes, furnace liners, paddles, boats (except specially designed caged boats), bubblers, cassettes or crucibles specially designed for the processing equipment

b.1.a. Equipment specially designed for producing polycrystalline silicon and materials controlled by entry 3A001 of Annex I of the Dual-Use Regulation;
b.1.b. Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by entries 3C001, 3C002, 3C003, 3C004, or 3C005 of Annex I of the Dual-Use Regulation except crystal pullers, for which see 3B991.b.1.c below;

b.1.c. Crystal pullers and furnaces, as follows:

Note:3B991.b.1.c does not control diffusion and oxidation furnaces.

b.1.c.1. Annealing or recrystallising equipment other than constant temperature furnaces employing high rates of energy transfer capable of processing wafers at a rate exceeding 0.005 m2 per minute;
b.1.c.2. “Stored program controlled” crystal pullers having any of the following:
b.1.c.2.a. Rechargeable without replacing the crucible container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x 105 Pa; or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding 100 mm;
b.1.d. “Stored program controlled” equipment for epitaxial growth having any of the following:
b.1.d.1. Capable of producing silicon layer with a thickness uniform to less than ± 2.5% across a distance of 200 mm or more;
b.1.d.2. Capable of producing a layer of any material other than silicon with a thickness uniformity across the wafer of equal to or better than ± 3.5%; or
b.1.d.3. Capable of rotating individual wafers during processing;
b.1.e. Molecular beam epitaxial growth equipment;

b.1.f. Magnetically enhanced ‘sputtering’ equipment with specially designed integral load locks capable of transferring wafers in an isolated vacuum environment;

Note: ‘Sputtering’ is an overlay coating process wherein positively charged ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on the substrate. (Note: Triode, magnetron or radio frequency sputtering to increase adhesion of coating and rate of deposition are ordinary modifications of the process.)

b.1.g. Equipment specially designed for ion implantation, ion-enhanced or photo-enhanced diffusion, having any of the following:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3 Optimised to operate at a beam energy (accelerating voltage) of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated “substrate”;
b.1.h. “Stored program controlled” equipment for selective removal (etching) by means of anisotropic dry methods (e.g., plasma), as follows:
b.1.h.1. ‘Batch types’ having either of the following:
b.1.h.1.a. End-point detection, other than optical emission spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or less;
b.1.h.2. ‘Single wafer types’ having any of the following:
b.1.h.2.a. End-point detection, other than optical emission spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or less; or

b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;

Notes: 1. ‘Batch types’ refers to machines not specially designed for production processing of single wafers. Such machines can process two or more wafers simultaneously with common process parameters, e.g., RF power, temperature, etch gas species, flow rates.

2. ’Single wafer types’ refers to machines specially designed for production processing of single wafers. These machines may use automatic wafer handling techniques to load a single wafer into the equipment for processing. The definition includes equipment that can load and process several wafers but where the etching parameters, e.g., RF power or end point, can be independently determined for each individual wafer.

b.1.i. “Chemical vapor deposition” (CVD) equipment, e.g., plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor device manufacturing, having either of the following capabilities, for deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. “Chemical vapor deposition” equipment operating below 105 Pa; or

b.1.i.2. PECVD equipment operating either below 60 Pa (450 millitorr) or having automatic cassette-to-cassette and load lock wafer handling;

Note: 3B991.b.1.i does not control low pressure “chemical vapor deposition” (LPCVD) systems or reactive ’sputtering’ equipment.

b.1.j. Electron beam systems specially designed or modified for mask making or semiconductor device processing having any of the following:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analogue conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analogue conversion accuracy exceeding 12 bit; or

b.1.j.5. Target-to-beam position feedback control precision of 1 μm or finer;

Note: 3B991.b.1.j does not control electron beam deposition systems or general purpose scanning electron microscopes.

b.1.k. Surface finishing equipment for the processing of semiconductor wafers as follows:
b.1.k.1. Specially designed equipment for backside processing of wafers thinner than 100 μm and the subsequent separation thereof; or

b.1.k.2. Specially designed equipment for achieving a surface roughness of the active surface of a processed wafer with a two-sigma value of 2 μm or less, total indicator reading (TIR);

Note:3B991.b.1.k does not control single-side lapping and polishing equipment for wafer surface finishing.

b.1.l. Interconnection equipment which includes common single or multiple vacuum chambers specially designed to permit the integration of any equipment controlled by 3B991 into a complete system;
b.1.m. “Stored program controlled” equipment using “lasers” for the repair or trimming of “monolithic integrated circuits” with either of the following:
b.1.m.1. Positioning accuracy less than ± 1 μm; or
b.1.m.2. Spot size (kerf width) less than 3 μm.

b.2. ‘Masks’, ‘mask’ “substrates,” mask-making equipment and image transfer equipment for the manufacture of devices and components as specified in the heading of 3B991, as follows:

Note: The term ’masks’ or ‘mask’ refers to those used in electron beam lithography, X-ray lithography, and ultraviolet lithography, as well as the usual ultraviolet and visible photo-lithography.

b.2.a. Finished masks, reticles and designs therefor, except:

b.2.a.1. Finished masks or reticles for the production of integrated circuits not controlled by entry 3A001 of Annex I of the Dual-Use Regulation; or
b.2.a.2. Masks or reticles, having both of the following:
b.2.a.2.a. Their design is based on geometries of 2.5 μm or more; and
b.2.a.2.b. The design does not include special features to alter the intended use by means of production equipment or “software”;
b.2.b. Mask “substrates” as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum) coated “substrates” (e.g., glass, quartz, sapphire) for the preparation of masks having dimensions exceeding 125 mm x 125 mm; or
b.2.b.2. “Substrates” specially designed for X-ray masks;
b.2.c. Equipment, other than general purpose computers, specially designed for computer aided design (CAD) of semiconductor devices or integrated circuits;

b.2.d. Equipment or machines, as follows, for mask or reticle fabrication:

Note:3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication equipment using photo-optical methods which was either commercially available before the 1st January, 1980, or has a performance no better than such equipment.

b.2.d.1. Photo-optical step and repeat cameras capable of producing arrays larger than 100 mm x 100 mm, or capable of producing a single exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or capable of producing line widths of less than 2.5 μm in the photoresist on the “substrate”;
b.2.d.2. Mask or reticle fabrication equipment using ion or “laser” beam lithography capable of producing line widths of less than 2.5 μm; or
b.2.d.3. Equipment or holders for altering masks or reticles or adding pellicles to remove defects;
b.2.e. “Stored program controlled” equipment for the inspection of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 μm or finer; and
b.2.e.2. A precision of 0.75 μm or finer over a distance in one or two coordinates of 63.5 mm or more;

Note: 3B991.b.2.e does not control general purpose scanning electron microscopes except when specially designed and instrumented for automatic pattern inspection.

b.2.f. Align and expose equipment for wafer production using photo-optical or X-ray methods, e.g., lithography equipment, including both projection image transfer equipment and step and repeat (direct step on wafer) or step and scan (scanner) equipment, capable of performing any of the following:

Note:3B991.b.2.f does not control photo-optical contact and proximity mask align and expose equipment or contact image transfer equipment.

b.2.f.1. Production of a pattern size of less than 2.5 μm;

b.2.f.2. Alignment with a precision finer than ± 0.25 μm (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than ± 0.3 μm; or
b.2.f.4. A light source wavelength shorter than 400 nm;

b.2.g. Electron beam, ion beam or X-ray equipment for projection image transfer capable of producing patterns less than 2.5 μm;

Note:For focused, deflected-beam systems (direct write systems), see 3B991.b.1.j or b.10.

b.2.h. Equipment using “lasers” for direct write on wafers capable of producing patterns less than 2.5 μm.

b.3. Equipment for the assembly of integrated circuits, as follows:
b.3.a. “Stored program controlled” die bonders having all of the following:
b.3.a.1. Specially designed for “hybrid integrated circuits”;
b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm; and
b.3.a.3. Placement accuracy in the X-Y plane of finer than ± 10 μm;
b.3.b. “Stored program controlled” equipment for producing multiple bonds in a single operation (e.g., beam lead bonders, chip carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by entry 3A001 of Annex I of the Dual-Use Regulation and that have a throughput equal to or more than one package per minute.
b.4. Filters for clean rooms capable of providing an air environment of 10 or less particles of 0.3 μm or smaller per 0.02832 m3 and filter materials therefor.
3B992 Equipment for the inspection or testing of electronic components and materials, and specially designed components therefor.
a. Equipment specially designed for the inspection or testing of electron tubes, optical elements and specially designed components therefor, controlled by entry 3A001 of Annex I of the Dual-Use Regulation or 3A991;

b. Equipment specially designed for the inspection or testing of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment:

Note: 3B992.b also controls equipment used or modified for use in the inspection or testing of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.

b.1. “Stored program controlled” inspection equipment for the automatic detection of defects, errors or contaminants of 0.6 μm or less in or on processed wafers, “substrates”, other than printed circuit boards or integrated circuits, using optical image acquisition techniques for pattern comparison;

Note: 3B992.b.1 does not control general purpose scanning electron microscopes, except when specially designed and instrumented for automatic pattern inspection.

b.2. Specially designed “stored program controlled” measuring and analysis equipment, as follows:
b.2.a. Specially designed for the measurement of oxygen or carbon content in semiconductor materials;
b.2.b. Equipment for line width measurement with a resolution of 1 μm or finer;
b.2.c. Specially designed flatness measurement instruments capable of measuring deviations from flatness of 10 μm or less with a resolution of 1 μm or finer.
b.3. “Stored program controlled” wafer probing equipment having any of the following:
b.3.a. Positioning accuracy finer than 3.5 μm;
b.3.b. Capable of testing devices having more than 68 terminals; or
b.3.c. Capable of testing at a frequency exceeding 1 GHz;
b.4. Test equipment as follows:

b.4.a. “Stored program controlled” equipment, specially designed for testing discrete semiconductor devices and unencapsulated dice, capable of testing at frequencies exceeding 18 GHz;

Technical Note: Discrete semiconductor devices include photocells and solar cells.

b.4.b. “Stored program controlled” equipment specially designed for testing integrated circuits and “electronic assemblies” thereof, capable of functional testing:

b.4.b.1. At a ‘pattern rate’ exceeding 20 MHz; or
b.4.b.2. At a ‘pattern rate’ exceeding 10 MHz but not exceeding 20 MHz and capable of testing packages of more than 68 terminals.

Notes: 3B992.b.4.b does not control test equipment specially designed for testing:

1. Memory;

2. “Electronic assemblies” for home and entertainment applications; and

3. Electronic components, and integrated circuits not controlled by entry 3A001 of Annex I of the Dual-Use Regulation or 3A991 provided such test equipment does not incorporate computing facilities with “user accessible programmability”.

Technical Note: For purposes of 3B992.b.4.b, ‘pattern rate’ is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed.

b.4.c. Equipment specially designed for determining the performance of focal-plane arrays at wavelengths of more than 1,200 nm, using “stored program controlled” measurements or computer aided evaluation and having any of the following:

b.4.c.1. Using scanning light spot diameters of less than 0.12 mm;
b.4.c.2. Designed for measuring photosensitive performance parameters and for evaluating frequency response, modulation transfer function, uniformity of responsivity or noise; or
b.4.c.3. Designed for evaluating arrays capable of creating images with more than 32 x 32 line elements;
b.5. Electron beam test systems designed for operation at 3 keV or below, or “laser” beam systems, for non-contact probing of powered-up semiconductor devices having any of the following:
b.5.a. Stroboscopic capability with either beam blanking or detector strobing;
b.5.b. An electron spectrometer for voltage measurements with a resolution of less than 0.5 V; or
b.5.c. Electrical tests fixtures for performance analysis of integrated circuits;
Note:3B992.b.5 does not control scanning electron microscopes, except when specially designed and instrumented for non-contact probing of a powered-up semiconductor device.
b.6. “Stored program controlled” multifunctional focused ion beam systems specially designed for manufacturing, repairing, physical layout analysis and testing of masks or semiconductor devices and having either of the following:
b.6.a. Target-to-beam position feedback control precision of 1 μm or finer; or
b.6.b. Digital-to-analogue conversion accuracy exceeding 12 bit;
b.7. Particle measuring systems employing “lasers” designed for measuring particle size and concentration in air having both of the following:
b.7.a. Capable of measuring particle sizes of 0.2 μm or less at a flow rate of 0.02832 m3 per minute or more; and
b.7.b. Capable of characterising Class 10 clean air or better.
3C992 Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths between 370 and 193 nm.
3D991 “Software” specially designed for the “development”, “production”, or “use” of electronic devices, or components controlled by entry 3A991 of Annex I of the Dual-Use Regulation, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 and 3B992; or “software” specially designed for the “use” of equipment controlled by entry 3B001.g and h of Annex I of the Dual-Use Regulation.
3E991 “Technology” for the “development,” “production” or “use” of electronic devices or components controlled by entry 3A991 of Annex I of the Dual-Use Regulation, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 or 3B992, or materials controlled by 3C992.

PART 3U.K.Computers

4A994 Computers, “electronic assemblies” and related equipment, and specially designed components therefor.

Note 1: The control status of the “digital computers” and related equipment described in 4A994 is determined by the control status of other equipment or systems provided:

a. The “digital computers” or related equipment are essential for the operation of the other equipment or systems;

b. The “digital computers” or related equipment are not a “principal element” of the other equipment or systems; and

N.b. 1: The control status of “signal processing” or “image enhancement” equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the “principal element” criterion.

N.b. 2: For the control status of “digital computers” or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications) of Annex I of the Dual-Use Regulation.

c. The “technology” for the “digital computers” and related equipment is determined by Category 4E of Annex I of the Dual-Use Regulation.

a. Electronic computers and related equipment, and “electronic assemblies” and specially designed components therefor, rated for operation at an ambient temperature above 343 K (70°C);

b. “Digital computers”, including “signal processing” or ”image enhancement” equipment, having an “Adjusted Peak Performance” (“APP”) equal to or greater than 0.0128 Weighted TeraFLOPS (WT);
c. “Electronic assemblies” that are specially designed or modified to enhance performance by aggregation of processors, as follows:
c.1. Designed to be capable of aggregation in configurations of 16 or more processors;
c.2. Not used.

Note 1: 4A994.c applies only to “electronic assemblies” and programmable interconnections with a “APP” not exceeding the limits in 4A994.b, when shipped as unintegrated “electronic assemblies”. It does not apply to “electronic assemblies” inherently limited by nature of their design for use as related equipment controlled by 4A994.k.

Note 2: 4A994.c does not control any “electronic assembly” specially designed for a product or family of products whose maximum configuration does not exceed the limits of 4A994.b.

d. Not used;

e. Not used;
f. Equipment for “signal processing” or “image enhancement” having an “Adjusted Peak Performance” (“APP”) equal to or greater than 0.0128 Weighted TeraFLOPS WT;
g. Not used;
h. Not used;
i. Equipment containing “terminal interface equipment” exceeding the limits in 5A991;
j. Equipment specially designed to provide external interconnection of “digital computers” or associated equipment that allows communications at data rates exceeding 80 Mbyte/s;
Note:4A994.j does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, “network access controllers” or “communication channel controllers”.
k. “Hybrid computers” and “electronic assemblies” and specially designed components therefor containing analogue-to-digital converters having all of the following:
k.1. 32 channels or more; and
k.2. A resolution of 14 bit (plus sign bit) or more with a conversion rate of 200,000 conversions/s or more.
4D993 “Program” proof and validation “software,” “software” allowing the automatic generation of “source codes,” and operating system “software” that are specially designed for “real-time processing” equipment.
a. “Program” proof and validation “software” using mathematical and analytical techniques and designed or modified for “programs” having more than 500,000 “source code” instructions;
b. “Software” allowing the automatic generation of “source codes” from data acquired on line from external sensors described in Annex I of the Dual-Use Regulation;
c. Operating system “software” specially designed for “real-time processing” equipment that guarantees a “global interrupt latency time” of less than 20 µs.

Note: “Global interrupt latency time” is the time taken by the computer system to recognise an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident task waiting on the interrupt.

4D994 Software” other than that controlled in entry 4D001 of Annex I of the Dual-Use Regulation specially designed or modified for the “development”, “production”, or “use” of equipment controlled by entry 4A101 of Annex I of the Dual-Use Regulation, or 4A994.
4E992 “Technology” for the “development,” “production,” or “use” of equipment controlled by 4A994, or “software” controlled by 4D993 or 4D994.
4E993 “Technology” for the “development” or “production” of equipment designed for “multi-data-stream processing.”

PART 4U.K.Telecommunications and information security

CHAPTER 1U.K.Telecommunication equipment

5A991 Telecommunication equipment.

Note:

1. ‘Asynchronous transfer mode’ (‘ATM’) is a transfer mode in which the information is organised into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate.

2. ‘Bandwidth of one voice channel’ is data communication equipment designed to operate in one voice channel of 3,100 Hz, as defined in CCITT Recommendation G.151.

3. ‘Communications channel controller’ is the physical interface that controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

4. ‘Datagram’ is a self-contained, independent entity of data carrying sufficient information to be routed from the source to the destination data terminal equipment without reliance on earlier exchanges between this source and destination data terminal equipment and the transporting network.

5. ‘Gateway’ is the function, realised by any combination of equipment and “software”, to carry out the conversion of conventions for representing, processing or communicating information used on one system into the corresponding, but different conventions used in another system.

6. ‘Packet’ is a group of binary digits including data and call control signals that is switched as a composite whole. The data, call control signals, and possible error control information are arranged in a specified format.

a. Any type of telecommunications equipment, not controlled by 5A001.a, specially designed to operate outside the temperature range from 219 K (-54 °C) to 397 K (124 °C).

b. Telecommunication transmission equipment and systems, and specially designed components therefor, having any of the following characteristics, functions or features:

a. Categorised as follows, or combinations thereof:

1. Radio equipment (e.g., transmitters, receivers and transceivers);

2. Line terminating equipment;

3. Intermediate amplifier equipment;

4. Repeater equipment;

5. Regenerator equipment;

6. Translation encoders (transcoders);

7. Multiplex equipment (statistical mutiplex included);

8. Modulators/demodulators (modems);

9. Transmultiplex equipment (see CCITT Rec. G701);

10. “Stored program controlled” digital cross-connection equipment;

11. ‘Gateways’ and bridges;

12. “Media access units”; and

b. Designed for use in single or multi-channel communication via any of the following:

1. Wire (line);

2. Coaxial cable;

3. Optical fibre cable;

4. Electromagnetic radiation; or

5. Underwater acoustic wave propagation.

b.1. Employing digital techniques, including digital processing of analogue signals, and designed to operate at a “digital transfer rate” at the highest multiplex level exceeding 45 Mbit/s or a “total digital transfer rate” exceeding 90 Mbit/s;

Note: 5A991.b.1 does not control equipment specially designed to be integrated and operated in any satellite system for civil use.

b.2. Modems using the ‘bandwidth of one voice channel’ with a “data signalling rate” exceeding 9,600 bits per second;
b.3. Being “stored program controlled” digital cross-connect equipment with “digital transfer rate” exceeding 8.5 Mbit/s per port.
b.4. Being equipment containing any of the following:
b.4.a. ‘Network access controllers’ and their related common medium having a “digital transfer rate” exceeding 33 Mbit/s; or
b.4.b. “Communication channel controllers” with a digital output having a “data signalling rate” exceeding 64,000 bit/s per channel;

Note: If any uncontrolled equipment contains a “network access controller”, it cannot have any type of telecommunications interface, except those described in, but not controlled by 5A991.b.4.

b.5. Employing a “laser” and having any of the following:
b.5.a. A transmission wavelength exceeding 1,000 nm; or

b.5.b. Employing analogue techniques and having a bandwidth exceeding 45 MHz;

Note: 5A991.b.5.b does not control commercial TV systems.

b.5.c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);
b.5.d. Employing wavelength division multiplexing techniques; or
b.5.e. Performing optical amplification;
b.6. Radio equipment operating at input or output frequencies exceeding:
b.6.a. 31 GHz for satellite-earth station applications; or
b.6.b. 26.5 GHz for other applications;
Note: 5A991.b.6. does not control equipment for civil use when conforming with an International Telecommunications Union (ITU) allocated band between 26.5 GHz and 31 GHz.
b.7. Being radio equipment employing any of the following:
b.7.a. Quadrature-amplitude-modulation (QAM) techniques above level 4 if the “total digital transfer rate” exceeds 8.5 Mbit/s;
b.7.b. QAM techniques above level 16 if the “total digital transfer rate” is equal to or less than 8.5 Mbit/s;
b.7.c. Other digital modulation techniques and having a “spectral efficiency” exceeding 3 bit/s/Hz; or
b.7.d. Operating in the 1.5 MHz to 87.5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal.

Notes:

1. 5A991.b.7 does not control equipment specially designed to be integrated and operated in any satellite system for civil use.

2. 5A991.b.7 does not control radio relay equipment for operation in an ITU allocated band:

a. Having any of the following:

a.1. Not exceeding 960 MHz; or

a.2. With a “total digital transfer rate” not exceeding 8.5 Mbit/s; and

b. Having a “spectral efficiency” not exceeding 4 bit/s/Hz.

c. “Stored program controlled” switching equipment and related signalling systems, having any of the following characteristics, functions or features, and specially designed components therefor:

Note: Statistical multiplexers with digital input and digital output which provide switching are treated as “stored program controlled” switches.

c.1. Data (message) switching equipment or systems designed for “packet-mode operation” and electronic assemblies and components therefor,
c.2. Not used;

c.3. Routing or switching of ‘datagram’ packets;

Note: The restrictions in 5A991.c.3 do not apply to networks restricted to using only ‘network access controllers’ or to ‘network access controllers’ themselves.

c.4. Not used.

c.5. Multi-level priority and pre-emption for circuit switching;

Note: 5A991.c.5 does not control single-level call pre-emption.

c.6. Designed for automatic hand-off of cellular radio calls to other cellular switches or automatic connection to a centralised subscriber data base common to more than one switch;
c.7. Containing “stored program controlled” digital cross connect equipment with “digital transfer rate” exceeding 8.5 Mbit/s per port.
c.8. “Common channel signalling” operating in either non-associated or quasi-associated mode of operation;
c.9. “Dynamic adaptive routing”;
c.10. Being packet switches, circuit switches and routers with ports or lines exceeding any of the following:

c.10.a. A “data signalling rate” of 64,000 bit/s per channel for a ‘communications channel controller’; or

Note: 5A991.c.10.a does not control multiplex composite links composed only of communication channels not individually controlled by 5A991.b.1.

c.10.b. A “digital transfer rate” of 33 Mbit/s for a ‘network access controller’ and related common media;

Note: 5A991.c.10 does not control packet switches or routers with ports or lines not exceeding the limits in 5A991.c.10.

c.11. “Optical switching”;
c.12. Employing ‘Asynchronous Transfer Mode’ (‘ATM’) techniques;
d. Optical fibres and optical fibre cables of more than 50 m in length designed for single mode operation;
e. Centralised network control having all of the following:
e.1. Receives data from the nodes; and
e.2. Process these data in order to provide control of traffic not requiring operator decisions, and thereby performing “dynamic adaptive routing”;
Note: 5A991.e does not preclude control of traffic as a function of predictable statistical traffic conditions.
f. Phased array antennas, operating above 10.5 GHz, containing active elements and distributed components, and designed to permit electronic control of beam shaping and pointing, except for landing systems with instruments meeting International Civil Aviation Organisation (ICAO) standards (microwave landing systems (MLS));
g. Mobile communications equipment and electronic assemblies and components therefor;
h. Radio relay communications equipment designed for use at frequencies equal to or exceeding 19.7 GHz and components therefor.
5B991 Telecommunications test equipment.
5C991 Preforms of glass or of any other material optimised for the manufacture of optical fibres controlled by 5A991.
5D991 “Software” specially designed or modified for the “development,” “production” or “use” of equipment controlled by 5A991 and 5B991, and dynamic adaptive routing software, as follows:
a. “Software”, other than in machine-executable form, specially designed for “dynamic adaptive routing”;
b. Not used.
5E991 “Technology” for the “development”, “production” or “use” of equipment controlled by 5A991 or 5B991, or “software” controlled by 5D991, and other “technologies” as follows:

Note:

1. ‘Synchronous digital hierarchy’ (SDH) is a digital hierarchy providing a means to manage, multiplex, and access various forms of digital traffic using a synchronous transmission format on different types of media. The format is based on the Synchronous Transport Module (STM) that is defined by CCITT Recommendation G.703, G.707, G.708, G.709 and others yet to be published. The first level rate of ‘SDH’ is 155.52 Mbits/s.

2. ‘Synchronous optical network’ (SONET) is a network providing a means to manage, multiplex and access various forms of digital traffic using a synchronous transmission format on fiber optics. The format is the North America version of ‘SDH’ and also uses the Synchronous Transport Module (STM). However, it uses the Synchronous Transport Signal (STS) as the basic transport module with a first level rate of 51.81 Mbits/s. The SONET standards are being integrated into those of ‘SDH’.

a. Specific “technologies” as follows:
a.1. “Technology” for the processing and application of coatings to optical fibre specially designed to make it suitable for underwater use;
a.2. “Technology” for the “development” of equipment employing ‘Synchronous Digital Hierarchy’ (‘SDH’) or ‘Synchronous Optical Network’ (‘SONET’) techniques.

CHAPTER 2U.K.Information security

5A992 “Information security” systems, equipment and components, described by entry 5A002 of Annex I of the Dual-Use Regulation and classified under Note 3 to Category 5, Part 2 of Annex I of the Dual-Use Regulation (Cryptography Note).
5D992 “Information Security” “software” described by entry 5D002 to Category 5, Part 2 in Annex I of the Dual-Use Regulation and classified under Note 3 to Category 5, Part 2 of Annex I of the Dual-Use Regulation (Cryptography Note).
Note: This entry does not control “software” designed or modified to protect against malicious computer damage, e.g., viruses, where the use of “cryptography” is limited to authentication, digital signature and/or the decryption of data or files.
5E992 “Information Security” “technology” as follows:
a. “Technology” for the “use” of items controlled by 5A992 or “software” controlled by 5D992.

PART 5U.K.Sensors and lasers

6A991 Marine or terrestrial acoustic equipment capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and specially designed components therefor.
6A992 Optical Sensors as follows
a. Image intensifier tubes and specially designed components therefor, as follows:
a.1. Image intensifier tubes having all the following:
a.1.a. A peak response in wavelength range exceeding 400 nm, but not exceeding 1,050 nm;
a.1.b. A microchannel plate for electron image amplification with a hole pitch (centre‑to‑centre spacing) of less than 25 μm; and
a.1.c. Having any of the following:
a.1.c.1. An S‑20, S‑25 or multialkali photocathode; or
a.1.c.2. A GaAs or GaInAs photocathode;
a.2. Specially designed microchannel plates having both of the following:
a.2.a. 15,000 or more hollow tubes per plate; and
a.2.b. Hole pitch (centre‑to‑centre spacing) of less than 25 μm.
b. Direct view imaging equipment operating in the visible or infrared spectrum, incorporating image intensifier tubes having the characteristics listed in 6A992.a.1.
6A993 Cameras as follows:
a. Cameras that meet the criteria of Note 3 to entry 6A003.b.4. of Annex I of the Dual-Use Regulation.
6A994 Optics as follows:
a. Optical filters:
a.1. For wavelengths longer than 250 nm, comprised of multi‑layer optical coatings and having either of the following:
a.1.a. Bandwidths equal to or less than 1 nm Full Width Half Intensity (FWHI) and peak transmission of 90% or more; or

a.1.b. Bandwidths equal to or less than 0.1 nm FWHI and peak transmission of 50% or more;

Note: 6A994 does not control optical filters with fixed air gaps or Lyot‑type filters.

a.2. For wavelengths longer than 250 nm, and having all of the following:
a.2.a. Tunable over a spectral range of 500 nm or more;
a.2.b. Instantaneous optical bandpass of 1.25 nm or less;
a.2.c. Wavelength resettable within 0.1 ms to an accuracy of 1 nm or better within the tunable spectral range; and
a.2.d. A single peak transmission of 91% or more;
a.3. Optical opacity switches (filters) with a field of view of 30 degrees or wider and a response time equal to or less than 1 ns;
b. “Fluoride fibre” cable, or optical fibres therefor, having an attenuation of less than 4 dB/km in the wavelength range exceeding 1,000 nm but not exceeding 3,000 nm.
6A995 “Lasers” as follows:
a. Carbon dioxide (CO2) “lasers” having any of the following:
a.1. A CW output power exceeding 10 kW;
a.2. A pulsed output with a “pulse duration” exceeding 10 µs; and
a.2.a. An average output power exceeding 10 kW; or
a.2.b. A pulsed “peak power” exceeding 100 kW; or
a.3. A pulsed output with a “pulse duration” equal to or less than 10 μs; and
a.3.a. A pulse energy exceeding 5 J per pulse and “peak power” exceeding 2.5 kW; or
a.3.b. An average output power exceeding 2.5 kW;
b. Semiconductor lasers, as follows
b.1. Individual, single‑transverse mode semiconductor “lasers” having:
b.1.a. An average output power exceeding 100 mW; or
b.1.b. A wavelength exceeding 1,050 nm;
b.2. Individual, multiple‑transverse mode semiconductor “lasers”, or arrays of individual semiconductor “lasers”, having a wavelength exceeding 1,050 nm;
c. Ruby “lasers” having an output energy exceeding 20 J per pulse;
d. Non-“tunable” “pulsed lasers” having an output wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of the following:

d.1. A “pulse duration” equal to or exceeding

1 ns but not exceeding 1 μs, and having any of the following:

d.1.a. A single transverse mode output and having any of the following:
d.1.a.1. A ‘wall-plug efficiency’ exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1kHz; or
d.1.a.2. An “average output power” exceeding 20 W; or
d.1.b. A multiple transverse mode output and having any of the following:
d.1.b.1. A ‘wall-plug efficiency’ exceeding 18% and an “average output power” exceeding 30W;
d.1.b.2. A “peak power” exceeding 200 MW; or
d.1.b.3. An “average output power” exceeding 50 W; or
d.2. A “pulse duration” exceeding 1 μs and having any of the following:
d.2.a. A single transverse mode output and having any of the following:
d.2.a.1. A ‘wall-plug efficiency’ exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or
d.2.a.2. An “average output power” exceeding 20 W; or
d.2.b. A multiple transverse mode output and having any of the following:
d.2.b.1. A ‘wall-plug efficiency’ exceeding 18% and an “average output power” exceeding 30 W; or
d.2.b.2. An “average output power” exceeding 500 W;
e. Non-“tunable” continuous wave “(CW) lasers”, having an output wavelength exceeding 975 nm but not exceeding 1,150nm and having any of the following:
e.1. A single transverse mode output and having any of the following:
e.1.a. A ‘wall-plug efficiency’ exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or
e.1.b. An “average output power” exceeding 50 W; or
e.2. A multiple transverse mode output and having any of the following:
e.2.a. A ‘wall-plug efficiency’ exceeding 18% and an “average output power” exceeding 30 W; or

e.2.b. An “average output power” exceeding 500 W;

Note: 6A995.e.2.b does not control multiple transverse mode, industrial “lasers” with output power less than or equal to 2kW with a total mass greater than 1,200kg. For the purpose of this note, total mass includes all components required to operate the “laser,” e.g., “laser,” power supply, heat exchanger, but excludes external optics for beam conditioning and/or delivery.

f. Non-“tunable” “lasers”, having a wavelength exceeding 1,400 nm, but not exceeding 1555 nm and having any of the following:
f.1. An output energy exceeding 100 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
f.2. An average or CW output power exceeding 1 W;
g. Free electron “lasers”.
6A996 “Magnetometers”, “Superconductive” electromagnetic sensors, and specially designed components therefor, as follows

a. “Magnetometers”, having a ‘sensitivity’ lower (better) than 1.0 nT (rms) per square root Hz.

Technical Note: For the purposes of 6A996, ‘sensitivity’ (noise level) is the root mean square of the device ‑limited noise floor which is the lowest signal that can be measured.

b. “Superconductive” electromagnetic sensors and components manufactured from “superconductive” materials, having all of the following:

b.1. Designed for operation at temperatures below the “critical temperature” of at least one of their “superconductive” constituents (including Josephson effect devices or “superconductive” quantum interference devices (SQUIDS));
b.2. Designed for sensing electromagnetic field variations at frequencies of 1 KHz or less; and
b.3. Having any of the following:
b.3.a. Incorporating thin-film SQUIDS with a minimum feature size of less than 2 μm and with associated input and output coupling circuits;
b.3.b. Designed to operate with a magnetic field slew rate exceeding 1 x 106 magnetic flux quanta per second;
b.3.c. Designed to function without magnetic shielding in the earth’s ambient magnetic field; or
b.3.d. Having a temperature coefficient less (smaller) than 0.1 magnetic flux quantum/K.
6A997 Gravity meters (gravimeters) for ground use as follows:
a. Having a static accuracy of less (better) than 100 microgal; or
b. Being of the quartz element (Worden) type.
6A998 Radar systems, equipment and specially designed components therefor, as follows:
a. Airborne radar equipment and specially designed components therefor.
b. “Space-qualified” “laser” radar or Light Detection and Ranging (LIDAR) equipment specially designed for surveying or for meteorological observation.
c. Millimetre wave enhanced vision radar imaging systems specially designed for rotary wing aircraft and having all of the following:
c.1. Operates at a frequency of 94 GHz;
c.2. An average output power of less than 20 mW;
c.3. Radar beam width of 1 degree; and
c.4. Operating range equal to or greater than 1500 m.
6A999 Specific processing equipment, as follows:
a. Seismic detection equipment not controlled in paragraph c.
b. Radiation hardened TV cameras,
c. Seismic intrusion detection systems that detect, classify and determine the bearing on the source of a detected signal.
6B995 Equipment, including tools, dies, fixtures or gauges, and other specially designed components therefor, specially designed or modified for any of the following:
a. For the manufacture or inspection of:
a.1. Free electron “laser” magnet wigglers;
a.2. Free electron “laser” photo injectors;
b. For the adjustment, to required tolerances, of the longitudinal magnetic field of free electron “lasers”.
6C992 Optical sensing fibres that are modified structurally to have a ‘beat length’ of less than 500 mm (high birefringence) or optical sensor materials not described in entry 6C002.b. of Annex I of the Dual-Use Regulation and having a zinc content of equal to or more than 6% by ‘mole fraction.’
Note: ‘Mole fraction’ is defined as the ratio of moles of ZnTe to the sum of the moles of CdTe and ZnTe present in the crystal. 2) ‘Beat length’ is the distance over which two orthogonally polarised signals, initially in phase, must pass in order to achieve a 2 Pi radian(s) phase difference.
6C994 Optical materials.
a. Low optical absorption materials, as follows:

a.1. Bulk fluoride compounds containing ingredients with a purity of 99.999% or better; or

Note: 6C994.a.1 controls fluorides of zirconium or aluminium and variants.

a.2. Bulk fluoride glass made from compounds controlled by entry 6C004.e.1 of Annex I of the Dual-Use Regulation;
b. ‘Optical fibre preforms’ made from bulk fluoride compounds containing ingredients with a purity of 99.999% or better, specially designed for the manufacture of “fluoride fibres” controlled by 6A994.b.
6D991 “Software,” specially designed for the “development”, “production”, or “use” of items controlled by entries 6A002 and 6A003 of Annex I of the Dual-Use Regulation, 6A991, 6A996, 6A997, or 6A998.
6D992 “Software” specially designed for the “development” or “production” of equipment controlled by 6A992, 6A994, or 6A995.
6D993 Other “software”.
a. Air Traffic Control (ATC) “software” application “programs” hosted on general purpose computers located at Air Traffic Control centres, and capable of automatically handing over primary radar target data (if not correlated with secondary surveillance radar (SSR) data) from the host ATC centre to another ATC centre.
b. “Software” specially designed for seismic intrusion detection systems in 6A999.c.
c. “Source Code” specially designed for seismic intrusion detection systems in 6A999.c.
6E991 “Technology” for the “development”, “production” or “use” of equipment controlled by 6A991, 6A996, 6A997, 6A998 or 6A99.c.
6E992 “Technology” for the “development” or “production” of equipment, materials or “software” controlled by 6A992, 6A994, or 6A995, 6B995, 6C992, 6C994, or 6D993.
6E993 Other “technology” as follows.
a. Optical fabrication technologies for serially producing optical components at a rate exceeding 10 m2 of surface area per year on any single spindle and having all of the following:
a.1. Area exceeding 1 m2, and
a.2. Surface figure exceeding λ/10 (rms) at the designed wavelength;
b. “Technology” for optical filters with a bandwidth equal to or less than 10 nm, a field of view (FOV) exceeding 40° and a resolution exceeding 0.75 line pairs per milliradian;
c. “Technology” for the “development” or “production” of cameras controlled by 6A993;
d. “Technology” “required” for the “development” or “production” of non‑triaxial fluxgate “magnetometers” or non‑triaxial fluxgate “magnetometer” systems, having any of the following:
d.1. ‘Sensitivity’ lower (better) than 0.05 nT (rms) per square root Hz at frequencies of less than 1 Hz; or
d.2. ‘Sensitivity’ lower (better) than 1 x 10‑3 nT (rms) per square root Hz at frequencies of 1 Hz or more;
e. “Technology” “required” for the “development” or “production” of infrared up-conversion devices having all of the following:
e.1. A response in the wavelength range exceeding 700 nm but not exceeding 1500 nm; and
e.2. A combination of an infrared photodetector, light emitting diode (LED), and nanocrystal to convert infrared light into visible light.

Technical Note: For the purposes of entry 6E993, ‘sensitivity’ (or noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured.

PART 6U.K.Navigation and avionics

7A994 Navigation direction finding equipment, airborne communication equipment, all aircraft inertial navigation systems, and other avionic equipment, including components,
7B994 Other equipment for the test, inspection, or “production” of navigation and avionics equipment.
7D994 “Software” for the “development”, “production”, or “use” of navigation, airborne communication and other avionics.
7E994 “Technology” for the “development,” “production” or “use” of navigation, airborne communication, and other avionics equipment.

PART 7U.K.Marine

8A992 Vessels, marine systems or equipment, and specially designed components therefor, and marine boilers and components therefor.
a. Underwater vision systems, as follows:
a.1. Television systems (comprising camera, lights, monitoring and signal transmission equipment) having a limiting resolution when measured in air of more than 500 lines and specially designed or modified for remote operation with a submersible vehicle; or

a.2. Underwater television cameras having a limiting resolution when measured in air of more than 700 lines;

Technical Note: Limiting resolution in television is a measure of horizontal resolution usually expressed in terms of the maximum number of lines per picture height discriminated on a test chart, using IEEE Standard 208/1960 or any equivalent standard.

b. Photographic still cameras specially designed or modified for underwater use, having a film format of 35 mm or larger, and having autofocusing or remote focusing specially designed for underwater use;

c. Stroboscopic light systems, specially designed or modified for underwater use, capable of a light output energy of more than 300 J per flash;
d. Other underwater camera equipment;
e. Other submersible systems;
f. Vessels, including inflatable boats, and specially designed components therefor, ;
g. Marine engines (both inboard and outboard), and specially designed components therefor, ;
h. Other self-contained underwater breathing apparatus (scuba gear) and related equipment, ;
i. Life jackets, inflation cartridges, compasses, wetsuits, masks, fins, weight belts, and dive computers;
j. Underwater lights and propulsion equipment;
k. Air compressors and filtration systems, specially designed for filling air cylinders.
l. Marine boilers designed to have any of the following:
l.1. Heat release rate (at maximum rating) equal to or in excess of 190,000 BTU per hour per cubic foot of furnace volume; or
l.2. Ratio of steam generated in kg per hour (at maximum rating) to the dry weight of the boiler in kg equal to or in excess of 0.83.
m. Components for marine boilers described in 8A992.l.
8D992 “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by 8A992.
8D999 “Software” specially designed for the operation of unmanned submersible vehicles.
8E992 “Technology” for the “development”, “production” or “use” of equipment controlled by 8A992.
[F311maritime goods and maritime technology within the meaning in regulation 21 (interpretation of Part 5).]

Textual Amendments

PART 8U.K.Aerospace and Propulsion

9A990 Diesel engines and tractor units, and specially designed components therefor.
a. Diesel engines for trucks, tractor units, and automotive applications of continuous power output of 400 BHP (298 kW) or greater (performance based on Society of Automotive Engineers J1349 standard conditions of 100 kPa and 25°C);
b. Off-road semi-trailer wheeled tractor units of carriage capacity 9 t or more and specially designed components therefor;
c. On-road semi-trailer tractor units, with single or tandem rear axles rated for 9 t per axel or greater and specially designed components therefor.
9A991 “Aircraft” and gas turbine engines and components
a. Not used;
[F312b. Not used];
c. Aero gas turbine engines and specially designed components therefor;
[F313d. Not used];
e. Pressurised aircraft breathing equipment and specially designed components therefor.
F314...
9B990 Vibration test equipment and specially designed components therefor.
9B991 “Equipment,” tooling or fixtures specially designed for manufacturing or measuring gas turbine blades, vanes or tip shroud castings, as follows:
a. Automated equipment using non-mechanical methods for measuring aerofoil wall thickness;
b. Tooling, fixtures or measuring equipment for the “laser”, water jet or ECM/EDM hole drilling processes controlled by entry 9E003.c of Annex I of the Dual-Use Regulation;
c. Ceramic core leaching equipment;
d. Ceramic core manufacturing equipment or tools;
e. Ceramic shell wax pattern preparation equipment;
f. Ceramic shell burn out or firing equipment.
9D990 “Software”, for the “development” or “production” of equipment controlled by 9A990 or 9B990.
9D991 “Software”, for the “development” or “production” of equipment controlled by 9A991 or 9B991.
9E990 “Technology”, for the “development” or “production” or “use” of equipment controlled by 9A990 or 9B990.
9E991 “Technology”, for the “development”, “production” or “use” of equipment controlled by 9A991 or 9B991.
9E993 Other “technology”, not described by entry 9E003 of Annex I of the Dual-Use Regulation, as follows:
a. Rotor blade tip clearance control systems employing active compensating casing “technology” limited to a design and development data base;
b. Gas bearing for turbine engine rotor assemblies.]

Textual Amendments

[F315Jet fuel and fuel additives

Any thing falling within a commodity code mentioned in column 1 of the following table.

Textual Amendments

Commodity code (1)Item (2)
Jet fuel (other than kerosene):
2710 12 70—spirit type jet fuel (light oils)
2710 19 29—other than kerosene (medium oils)
2710 19 21—kerosene type jet fuel (medium oils)
2710 20 90—kerosene type jet fuel blended with biodiesel

Oxidation inhibitors

Oxidation inhibitors used in additives for lubricating oils:

3811 21 00— oxidation inhibitors containing petroleum oils
3811 29 00— other oxidation inhibitors
3811 90 00Oxidation inhibitors used for other liquids used for the same purpose as mineral oils

Static dissipater additives

Static dissipater additives for lubricating oils:

3811 21 00— containing petroleum oils
3811 29 00— other
3811 90 00Static dissipater additives for other liquids used for the same purpose as mineral oils

Corrosion inhibitors

Corrosion inhibitors for lubricating oils:

3811 21 00— containing petroleum oils
3811 29 00— other
3811 90 00Corrosion inhibitors for other liquids used for the same purpose as mineral oils

Fuel system icing inhibitors (anti-icing additives)

Fuel system icing inhibitors for lubricating oils:

3811 21 00— containing petroleum oils
3811 29 00— other
3811 90 00Fuel system icing inhibitors for other liquids used for the same purpose as mineral oils

Metal de-activators

Metal de-activators for lubricating oils:

3811 21 00—containing petroleum oils
3811 29 00— other
3811 90 00Metal de-activator for other liquids used for the same purpose as mineral oils

Biocide additives

Biocide additives for lubricating oils:

3811 21 00— containing petroleum oils
3811 29 00— other
3811 90 00Biocide additives for other liquids used for the same purpose as mineral oils

Thermal stability improver additives

Thermal stability improver for lubricating oils:

3811 21 00— containing petroleum oils
3811 29 00— other
3811 90 00Thermal stability improver for other liquids used for the same purposes as mineral oils]

Regulation 60B

[F316SCHEDULE 2BU.K.Consumer communication devices

Textual Amendments

1.  In regulation 60B, “consumer communication device” means any of the following, of a type which is generally available to the public—U.K.

(a)computers falling within entries 5A992 and 4A994.b of Schedule 2A ;

(b)disk drives and solid-state storage equipment falling within entry 5A992 of Schedule 2A;

(c)input/output control units (other than industrial controllers designed for chemical processing);

(d)graphics accelerators and graphics coprocessors;

(e)monitors falling within entry 5A992 of Schedule 2A;

(f)printers falling within entry 5A992 of Schedule 2A;

(g)modems falling within entries 5A991.b.2, 5A991.b.4 or 5A992 of Schedule 2A;

(h)network access controllers and communications channel controllers falling within entry 5A991.b.4 of Schedule 2A;

(i)keyboards, mice and similar devices specified in entry 5A992 of Schedule 2A;

(j)mobile phones, including cellular and satellite telephones, personal digital assistants, and subscriber information module (SIM) cards and similar devices falling within entries 5A992 or 5A991 of Schedule 2A;

(k)memory devices falling within entry 5A992 of Schedule 2A;

(l)information security equipment, software (except encryption source code) and peripherals falling within entries 5A992 or 5D992 of Schedule 2A;

(m)digital cameras and memory cards falling within entry 6A993 or 5A992 of Schedule 2A;

(n)television and radio receivers falling within entry 5A992 of Schedule 2A;

(o)recording devices falling within entry 5A992 of Schedule 2A;

(p)batteries, chargers, carrying cases and accessories for the goods falling within paragraphs (a) to (o) above;

(q)software (except encryption source code) falling within entries 4D994, 5D991 and 5D992 of Schedule 2A, which is for use with equipment described in paragraphs (a) to (p) above.

2.  For the purposes of paragraph 1, goods and technology are generally available to the public if they are —U.K.

(a)sold from stock at retail selling points without restriction, by means of—

(i)over the counter transactions,

(ii)mail order transactions,

(iii)electronic transactions, or

(iv)telephone order transactions, and

(b)designed for installation by the user without further substantial support by the supplier.]

Regulation 21

[F317SCHEDULE 2CU.K.Aviation and space goods and technology

Textual Amendments

PART 1U.K.General

InterpretationU.K.

1.  For the purposes of this Schedule, whether a thing “falls within chapter 88 of the Goods Classification Table” is to be interpreted in accordance with paragraph 1 of Schedule 3.

2.  Terms printed in quotation marks and not defined in this Schedule have the meaning given to them in—

(a)Schedules 2 and 3 of the Export Control Order 2008, or

(b)Annex I of the Dual-Use Regulation,

as applicable.

PART 2U.K.Aviation and space goods

3.  Any thing falling within chapter 88 of the Goods Classification Table.U.K.

PART 3U.K.Aviation and space technology

4.  “Technology” for the “development”, “production” or “use” of things falling within chapter 88 of the Goods Classification Table.U.K.

5.  “Software” for the “development”, “production” or “use” of things falling within chapter 88 of the Goods Classification Table.]U.K.

Regulation 21

[F318SCHEDULE 2DU.K.Oil refining goods and technology

Textual Amendments

PART 1U.K.

InterpretationU.K.

1.—(1) Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

(2) Terms printed in quotation marks and not defined in this Schedule have the meaning given to them in—

(a)Schedules 2 and 3 to the Export Control Order 2008, or

(b)Annex I of the Dual-Use Regulation,

as applicable.

PART 2U.K.

Oil refining goodsU.K.

2.  Any thing falling within—

(a)a commodity code mentioned in column 1 of the following table, and

(b)the description in column 2 corresponding to that code.

Commodity codeDescription

ex 8479 89 97

ex 8543 70 90

Alkylation and isomerization units

ex 8479 89 97

ex 8543 70 90

Aromatic hydrocarbon production units
ex 8419 40 00Atmospheric-vacuum crude distillation units (CDU)

ex 8479 89 97

ex 8543 70 90

Catalytic reforming / cracker units

[F319 ex 8419 50 20, 8419 50 80

Cold boxes in the LNG-process]

[F319ex 8419 50 20 or 8419 50 80

Cryogenic exchangers in the LNG-process]

[F319ex 8414 10 81

Cryogenic pumps in the LNG-process]

ex 8419 89 98

ex 8419 89 30

ex 8419 89 10

Delayed cokers

ex 8419 89 98

ex 8419 89 30

ex 8419 89 10

Flexicoking units
ex 8479 89 97Hydrocracking reactors

ex 8419 89 98

ex 8419 89 30

ex 8419 89 10

ex 8479 89 97

Hydrocracking reactor vessels

ex 8479 89 97

ex 8543 70 90

Hydrogen generation equipment

ex 8421 39 15

ex 8421 39 25

ex 8421 39 35

ex 8421 39 85

ex 8479 89 97

ex 8543 70 90

Hydrogen recovery and purification equipment

ex 8479 89 97

ex 8543 70 90

Hydrotreatment equipment/units

ex 8479 89 97

ex 8543 70 90

Naphtha isomerisation units

ex 8479 89 97

ex 8543 70 90

Polymerisation units

[F319ex 8418 69 00

Process units for gas cooling in the LNG-process]

[F319ex 8418 60 00

Process units for the liquefaction of the natural gas]

[F319ex 8419 40 00

Process units for the separation and fractionation of the hydrocarbons in the LNG-process]

ex 8419 89 10

ex 8419 89 30

ex 8419 89 98

ex 8479 89 97

ex 8543 70 90

Refinery fuel gas treatment and sulphur recovery equipment (including amine scrubbing units, sulphur recovery units, tail gas treatment units)

ex 8456 90 00

ex 8479 89 97

ex 8543 70 90

Solvent de-asphalting units

ex 8479 89 97

ex 8543 70 90

Sulphur production units

ex 8479 89 97

ex 8543 70 90

Sulphuric acid alkylation and sulphuric acid regeneration units

ex 8419 89 10

ex 8419 89 30

ex 8419 89 98

ex 8479 89 97

ex 8543 70 90

Thermal cracking units

ex 8479 89 97

ex 8543 70 90

Toluene and heavy aromatics: Transalkylation units

ex 8479 89 97

ex 8543 70 90

Visbreakers

ex 8479 89 97

ex 8543 70 90

Vacuum gas oil hydrocracking units

Textual Amendments

3.  Catalysts used in the following processes for the refining of crude oil to produce petroleum products—

(a)fluid catalytic cracking;

(b)hydroprocessing, including hydrotreating and hydrocracking,

(c)alkylation;

(d)catalytic reforming.

Oil refining technologyU.K.

4.  “Software” for the “development”, “production” or “use” of any thing falling within paragraphs 2 and 3.

5.  “Technology” for the “development”, “production” or “use” of any thing falling within paragraphs 2 to 4.]

Regulation 21

[F320SCHEDULE 2EU.K.Quantum computing and advanced materials goods and technology PART 1

Textual Amendments

InterpretationU.K.

1.—(1) Terms printed in quotation marks and not defined or interpreted in this Schedule have the meaning given to them in—

(a)Schedules 2 and 3 to the Export Control Order 2008, or

(b)Annex I of the Dual-Use Regulation,

as applicable.

(2) For the purposes of this Schedule, the interpretative notes in Part 2 apply.

PART 2U.K.

Quantum computing and advanced materials goodsU.K.

2.  Equipment, “electronic assemblies” and components, specially designed for “quantum computers”, quantum electronics, quantum sensors, quantum processing units, qubit circuits, qubit devices or quantum radar systems.

Note 1: “Quantum computers” perform computations that harness the collective properties of quantum states, such as superposition, interference and entanglement.

Note 2: Units, circuits and devices include but are not limited to superconducting circuits, quantum annealing, ion trap, photonic interaction, silicon/spin and cold atoms.

3.  “Cryogenic refrigeration systems” designed to maintain temperatures below 1.1 kelvin for 48 hours or more and related cryogenic refrigeration equipment and components as follows:

(a)pulse tubes;

(b)cryostats;

(c)dewars;

(d)gas handling systems (GHS);

(e)compressors;

(f)control units.

Note: “Cryogenic refrigeration systems” include but are not limited to dilution refrigeration, adiabatic demagnisation refrigerators and laser cooling systems.

4.  Ultra-High vacuum (“UHV”) equipment as follows—

(a)UHV pumps (sublimation, turbomolecular, diffusion, cryogenic, ion-getter);

(b)UHV pressure gauges.

Note: UHV means 100 nanoPascals (nPa) or lower

5.  High quantum efficiency (“QE”) photodetectors and sources with a QE greater than 80% in the wavelength range exceeding 300 nanometers but not exceeding 1700 nanometers.

6.  Manufacturing equipment as follows—

(a)additive manufacturing equipment for the production of metal parts;

(b)additive manufacturing equipment for “energetic materials”, including equipment using ultrasonic extrusion;

(c)vat photopolymerisation additive manufacturing equipment using stereo lithography (SLA) or direct light processing (DLP).

Note: Paragraph 6(a) only applies to the following systems—

(i)i)powder-bed systems using selective laser melting (SLM), laser cladding, direct metal laser sintering (DMLS) or electron beam melting (ELB), or

(ii)powder-fed systems using laser cladding, direct energy deposition or laser metal deposition.

7.  Metal powders and metal alloy powders specially designed for the additive manufacturing equipment specified in paragraph 6(a).

8.  Microscopes, related equipment and detectors, as follows—

(a)scanning electron microscopes (SEM);

(b)scanning auger microscopes;

(c)transmission electron microscopes (TEM);

(d)atomic force microscopes (AFM);

(e)scanning force microscopes (SFM);

(f)equipment and detectors specially designed for use with the microscopes specified in sub-paragraphs (a) to (e), employing any of the following—

(i)X-ray photo spectroscopy (XPS);

(ii)energy-dispersive X-ray spectroscopy (EDX, EDS);

(iii)electron back scatter detector (EBSD) systems;

(iv)electron spectroscopy for chemical analysis (ESCA).

9.  “Decapsulation” equipment for semiconductor devices.

Note: “Decapsulation” means the removal of a cap, lid, or encapsulating material from a packaged integrated circuit by mechanical, thermal, or chemical methods.

Quantum computing and advanced materials technologyU.K.

10.  “Software” specially designed or modified for the “development”, “production” or “use” of the systems, equipment and components specified in paragraphs 2 to 9.

11.  “Software” for digital twins (DT) of additive manufactured products or for the determination of the reliability of additive manufactured products.

12.  “Technology” “required” for the “development”, “production” or “use” of the systems, equipment, components and software specified in paragraphs 2 to 11.]

Regulation 21

SCHEDULE 3U.K.Energy-related goods and infrastructure-related goods

PART 1U.K.General

InterpretationU.K.

1.—(1) For the purposes of this Schedule—

(a)a thing “falls within” a commodity code if it is, or would be, classified under that commodity code, as set out in the Goods Classification Table;

(b)a thing “falls within” a chapter if it is, or would be, classified under that chapter, as set out in the Goods Classification Table;

(c)where a commodity code or chapter is preceded by “ex”, the goods specified in this Schedule constitute only a part of the scope of the commodity code or chapter and must fall within both the description given to that code or chapter in this Schedule and the scope of the code or chapter in the Goods Classification Table.

(2) For the purposes of determining whether or not a thing is, or would be, “classified” in accordance with sub-paragraph (1), the rules of interpretation contained in the following have effect—

(a)Part Two (Goods Classification Table Rules of Interpretation) of the Tariff of the United Kingdom;

(b)notes to a section or chapter of the Goods Classification Table.

(3) For the purposes of this paragraph—

“commodity code” includes a code denoting a heading or sub-heading;

“the Goods Classification Table” means the table so named in Annex Ⅰ in Part Three of the Tariff of the United Kingdom;

“the Tariff of the United Kingdom” means the document containing the legal classification and import rate for products being imported into the United Kingdom, entitled “The Tariff of the United Kingdom”, as revised or re-issued from time to timeM56 [F321, including by any document published under regulations made under section 8(1) of the Taxation (Cross-border Trade) Act 2018 replacing the same in whole or in part].

Textual Amendments

F321Words in Sch. 3 para. 1(3) inserted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 10(14); S.I. 2020/1514, reg. 4

Commencement Information

I118Sch. 3 para. 1 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Marginal Citations

M56The Tariff of the United Kingdom, Version 1.0, is available electronically from: https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/785939/Tariff_Reference_Document_13_March_2019.pdf. A hard copy is available for inspection free of charge at the offices of HMRC at 100 Parliament Street, London, SW1A 2BQ.

PART 2U.K.Energy-related goods

2.  Any thing falling within the following commodity codes—U.K.

  • 7304 11 00

  • 7304 19 10

  • 7304 19 30

  • 7304 19 90

  • 7304 22 00

  • 7304 23 00

  • 7304 29 10

  • 7304 29 30

  • 7304 29 90

  • 7305 11 00

  • 7305 12 00

  • 7305 19 00

  • 7305 20 00

  • 7306 11

  • 7306 19

  • 7306 21 00

  • 7306 29 00

  • 8207 13 00

  • 8207 19 10

  • 8413 82 00

  • 8413 92 00

  • 8430 49 00

  • 8705 20 00

  • 8905 20 00

  • 8905 90 10

Commencement Information

I119Sch. 3 para. 2 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

3.  Any thing falling—U.K.

(a)within a commodity code mentioned in column 1 of the following table; and

(b)within the description in column 2 beside that code.

CodeDescription
ex 8413 50Reciprocating positive displacement pumps for liquids, power-driven with a maximum flow-rate greater than 18 m 3 /hour and a maximum outlet pressure greater than 40 bar, specially designed to pump drilling muds and/or cement into oil wells
ex 8413 60Rotary positive displacement pumps for liquids, power-driven with a maximum flow-rate greater than 18 m 3 /hour and a maximum outlet pressure greater than 40 bar, specially designed to pump drilling muds and/or cement into oil wells
ex 8431 39 00Parts suitable for use solely or principally with the oil field machinery of heading 8428
ex 8431 43 00Parts suitable for use solely or principally with the oil field machinery of subheadings 8430 41 or 8430 49
ex 8431 49Parts suitable for use solely or principally with the oil field machinery of heading 8426, 8429 and 8430

Commencement Information

I120Sch. 3 para. 3 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F3223A.  Any thing falling within the first column of the following table.U.K.

ItemRegulation 53A applies?
a. Oil and gas exploration data, e.g., seismic analysis data.
b. Hydraulic fracturing items, as follows:
b.1. Hydraulic fracturing design and analysis software and data.
b.2. Hydraulic fracturing proppant, fracking fluid, and chemical additives therefor.Yes
b.3. High pressure pumps.Yes]

Textual Amendments

PART 3U.K.Infrastructure-related goods

4.  Any thing falling within the following chapters—U.K.

(a)chapters 25 to 29;

(b)chapters 72 to 76;

(c)chapters 78 to 81;

(d)chapter 86;

(e)chapters 88 and 89; and

(f)chapter 98.

Commencement Information

I121Sch. 3 para. 4 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

5.  Any thing falling within the following commodity codes—U.K.

  • 3824

  • 3826 00

  • 8207 13 00

  • 8207 19 10

  • 8401 to 8418

  • 8420 to 8432

  • 8435 to 8437

  • 8439 to 8443

  • 8444 00

  • 8445

  • 8447

  • 8448

  • 8449 00 00

  • 8450

  • 8452 to 8468

  • 8470 to 8484

  • 8486

  • 8487

  • 8501 to 8505

  • 8507

  • 8511

  • 8514

  • 8515

  • 8525 to 8548

  • 8701

  • 8702

  • 8704

  • 8705

  • 8706 00

  • 8709

  • 8710 00 00

  • 8716

  • 7106 to 7112

  • 9013 to 9015

  • 9025 to 9033

Commencement Information

I122Sch. 3 para. 5 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Regulation 21

[F323SCHEDULE 3AU.K.Luxury goods

Textual Amendments

PART 1U.K.

InterpretationU.K.

1.—(1) Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

(2) In Part 2, “sales price” means the sales price of the item or quantity specified excluding value added taxes.

(3) For the purposes of this Schedule, where a sales price is specified per item, “item” is to be construed as the unit usually packaged for retail sale (where applicable), whether a singular good or a number of goods if packaged to be sold together.

PART 2U.K.

Luxury itemsU.K.

2.  Horses, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price exceeds £250 per animal—

Commodity codeDescription
0101 21 00Pure-bred breeding animals
0101 29 90Other

3.  Caviar and caviar substitutes, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price exceeds £250 per 1.5kg, or equivalent per item—

Commodity codeDescription
1604 31 00Caviar
1604 32 00Caviar substitutes

4.  Truffles and preparations thereof falling within the commodity codes set out in the following table, provided that the sales price exceeds £250 per 1.5kg, or equivalent per item—

Commodity codeDescription
0709 56 00Truffles
0710 80 69Other
0711 59 00Other
0712 39 00Other
2001 90 97Other
2003 90 10Truffles
2103 90 90Other
2104 10 00Soups and broths and preparations therefor
2104 20 00Homogenised composite food preparations
2106 00 00Food preparations not elsewhere specified or included

5.  Wines (including sparkling wines), beers, spirits and spirituous beverages, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
2203 00 00Beer made from malt
2204 10 11Champagne
2204 10 91Asti spumante
2204 10 93Other
2204 10 94With a protected geographical indication (PGI)
2204 10 96Other varietal wines
2204 10 98Other
2204 21 00In containers holding 2 litres or less
2204 29 00Other
2205 00 00Vermouth and other wine of fresh grapes flavoured with plants or aromatic substances
2206 00 00Other fermented beverages (for example, cider, perry, mead, saké); mixtures of fermented beverages and mixtures of fermented beverages with non-alcoholic beverages, not elsewhere specified or included
2207 10 00Undenatured ethyl alcohol of an alcoholic strength by volume of 80 % vol or higher
2208 00 00Undenatured ethyl alcohol of an alcoholic strength by volume of less than 80 % vol; spirits, liqueurs and other spirituous beverages

6.  Cigars or cigarillos falling within the commodity codes set out in the table below, provided that the sales price per item exceeds £10—

Commodity codeDescription
2402 10 00Cigars, cheroots and cigarillos, containing tobacco
2402 90 00Other

7.  Perfumes, toilet waters and cosmetics, including beauty and make-up products, meaning any thing which falls within the following commodity codes, provided that the sales price exceeds the price corresponding to that code set out in the third column of the table—

Commodity codeDescriptionSales price
3303Perfumes and toilet waters£250 per 6.25 litres
3304 00 00Beauty or make-up preparations and preparations for the care of the skin (other than medicaments), including sunscreen or suntan preparations; manicure or pedicure preparations£250 per item or 6.25 litres if liquid
3305 00 00Preparations for use on the hair£250 per item or 6.25 litres if liquid
3307 00 00Pre-shave, shaving or aftershave preparations, personal deodorants, bath preparations, depilatories and other perfumery, cosmetic or toilet preparations, not elsewhere specified or included; prepared room deodorisers, whether or not perfumed or having disinfectant properties£250 per item or 6.25 litres if liquid
6704 00 00Wigs, false beards, eyebrows and eyelashes, switches and the like, of human or animal hair or of textile materials; articles of human hair not elsewhere specified or included£250 per item

8.  Leather, saddlery, travel goods, handbags or similar articles, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
4201 00 00Saddlery and harness for any animal (including traces, leads, knee pads, muzzles, saddle-cloths, saddlebags, dog coats and the like), of any material
4202 00 00Trunks, suitcases, vanity cases, executive-cases, briefcases, school satchels, spectacle cases, binocular cases, camera cases, musical instrument cases, gun cases, holsters and similar containers; travelling-bags, insulated food or beverages bags, toilet bags, rucksacks, handbags, shopping-bags, wallets, purses, map-cases, cigarette-cases, tobacco-pouches, tool bags, sports bags, bottle-cases, jewellery boxes, powder boxes, cutlery cases and similar containers, of leather or of composition leather, of sheeting of plastics, of textile materials, of vulcanised fibre or of paperboard, or wholly or mainly covered with such materials or with paper
4205 00 90Other
9605 00 00Travel sets for personal toilet, sewing or shoe or clothes cleaning

9.  Garments, clothing, accessories or shoes, meaning any thing which falls within the following commodity codes or chapters, provided that the sales price per item exceeds £250 —

Commodity codeDescription
4203 00 00Articles of apparel and clothing accessories, of leather or of composition leather
4303 00 00Articles of apparel, clothing accessories and other articles of furskin
6101 00 00Men’s or boys’ overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, knitted or crocheted, other than those of heading 6103
6102 00 00Women’s or girls’ overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, knitted or crocheted, other than those of heading 6104
6103 00 00Men’s or boys suits, ensembles, jackets, blazers, trousers, bib and brace overalls, breeches and shorts (other than swimwear), knitted or crocheted
6104 00 00Women’s or girls’ suits, ensembles, jackets, blazers, dresses, skirts, divided skirts, trousers, bib and brace overalls, breeches and shorts (other than swimwear), knitted or crocheted
6105 00 00Men’s or boys’ shirts, knitted or crocheted
6106 00 00Women’s or girls’ blouses, shirts and shirt-blouses, knitted or crocheted
6107 00 00Men’s or boys’ underpants, briefs, nightshirts, pyjamas, bathrobes, dressing gowns and similar articles, knitted or crocheted
6108 00 00Women’s or girls’ slips, petticoats, briefs, panties, nightdresses, pyjamas, négligés, bathrobes, dressing gowns and similar articles, knitted or crocheted
6109 00 00T-shirts, singlets and other vests, knitted or crocheted
6110 00 00Jerseys, pullovers, cardigans, waistcoats and similar articles, knitted or crocheted
6111 00 00Babies’ garments and clothing accessories, knitted or crocheted
6112 11 00Of cotton
6112 12 00Of synthetic fibres
6112 19 00Of other textile materials
6112 20 00Ski suits
6112 31 00Of synthetic fibres
6112 39 00Of other textile materials
6112 41 00Of synthetic fibres
6112 49 00Of other textile materials
6113 00 10Of knitted or crocheted fabrics of heading 5906
6113 00 90Other
6114 00 00Other garments, knitted or crocheted
6115 00 00Pantyhose, tights, stockings, socks and other hosiery, including graduated compression hosiery (for example, stockings for varicose veins) and footwear without applied soles, knitted or crocheted
6116 00 00Gloves, mittens and mitts, knitted or crocheted
6117 00 00Other made-up clothing accessories, knitted or crocheted; knitted or crocheted parts of garments or of clothing accessories
6201 00 00Men’s or boys’ overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, other than those of heading 6203
6202 00 00Women’s or girls overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, other than those of heading 6204
6203 00 00Men’s or boys’ suits, ensembles, jackets, blazers, trousers, bib and brace overalls, breeches and shorts (other than swimwear)
6204 00 00Women’s or girls’ suits, ensembles, jackets, blazers, dresses, skirts, divided skirts, trousers, bib and brace overalls, breeches and shorts (other than swimwear)
6205 00 00Men’s or boys’ shirts
6206 00 00Women’s or girls’ blouses, shirts and shirt-blouses
6207 00 00Men’s or boys singlets and other vests, underpants, briefs, nightshirts, pyjamas, bathrobes, dressing gowns and similar articles
6208 00 00Women’s or girls’ singlets and other vests, slips, petticoats, briefs, panties, nightdresses, pyjamas, négligés, bathrobes, dressing gowns and similar articles
6209 00 00Babies’ garments and clothing accessories
6210 10 00Of fabrics of heading 5602 or 5603
6210 20 00Other garments, of the type described in subheadings 6201 11 to 6201 19
6210 30 00Other garments, of the type described in subheadings 6202 11 to 6202 19
6210 40 00Other men’s or boys’ garments
6210 50 00Other women’s or girls’ garments
6211 11 00Men’s or boys’
6211 12 00Women’s or girls’
6211 20 00Ski suits
6211 32 00Of cotton
6211 33 00Of man-made fibres
6211 39 00Of other textile materials
6211 42 00Of cotton
6211 43 00Of man-made fibres
6211 49 00Of other textile materials
6212 00 00Brassières, girdles, corsets, braces, suspenders, garters and similar articles and parts thereof, whether or not knitted or crocheted
6213 00 00Handkerchiefs
6214 00 00Shawls, scarves, mufflers, mantillas, veils and the like
6215 00 00Ties, bow ties and cravats
6216 00 00Gloves, mittens and mitts
6217 00 00Other made-up clothing accessories; parts of garments or of clothing accessories, other than those of heading 6212
6401 00 00Waterproof footwear with outer soles and uppers of rubber or of plastics, the uppers of which are neither fixed to the sole nor assembled by stitching, riveting, nailing, screwing, plugging or similar processes
6402 20 00Footwear with upper straps or thongs assembled to the sole by means of plugs
6402 91 00Covering the ankle
6402 99 00Other
6403 19 00Other
6403 20 00Footwear with outer soles of leather, and uppers which consist of leather straps across the instep and around the big toe
6403 40 00Other footwear, incorporating a protective metal toecap
6403 51 00Covering the ankle
6403 59 00Other
6403 91 00Covering the ankle
6403 99 00Other
6404 19 10Slippers and other indoor footwear
6404 20 00Footwear with outer soles of leather or composition leather
6405 00 00Other footwear
6504 00 00Hats and other headgear, plaited or made by assembling strips of any material, whether or not lined or trimmed
6505 00 10Of fur felt or of felt of wool and fur, made from the hat bodies, hoods or plateaux of heading 6501 00 00
6505 00 30Peaked caps
6505 00 90Other
6506 99 00Of other materials
6601 91 00Having a telescopic shaft
6601 99 00Other
6602 00 00Walking sticks, seat-sticks, whips, riding-crops and the like
9619 00 81Napkins and napkin liners for babies

10.  Carpets, rugs and tapestries, hand-made or not, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
5701 00 00Carpets and other textile floor coverings, knotted, whether or not made up
5702 10 00‘Kelem’, ‘Schumacks’, ‘Karamanie’ and similar hand-woven rugs
5702 20 00Floor coverings of coconut fibres (coir)
5702 31 80Other
5702 32 00Of man-made textile materials
5702 39 00Of other textile materials
5702 41 90Other
5702 42 00Of man-made textile materials
5702 50 00Other, not of pile construction, not made up
5702 91 00Of wool or fine animal hair
5702 92 00Of man-made textile materials
5702 99 00Of other textile materials
5703 00 00Carpets and other textile floor coverings, tufted, whether or not made up
5704 00 00Carpets and other textile floor coverings, of felt, not tufted or flocked, whether or not made up
5705 00 00Other carpets and other textile floor coverings, whether or not made up
5805 00 00Hand-woven tapestries of the type Gobelins, Flanders, Aubusson, Beauvais and the like, and needle-worked tapestries (for example, petit point, cross stitch), whether or not made up

11.  Pearls, precious and semi-precious stones, articles of pearls, jewellery, gold- or silversmith articles falling within the commodity codes set out in the following table—

Commodity codeDescription
7101 00 00Pearls, natural or cultured, whether or not worked or graded but not strung, mounted or set; pearls, natural or cultured, temporarily strung for convenience of transport
7102 00 00Diamonds, whether or not worked, but not mounted or set, excluding for industrial use
7103 00 00Precious stones (other than diamonds) and semi-precious stones, whether or not worked or graded but not strung, mounted or set; ungraded precious stones (other than diamonds) and semi-precious stones, temporarily strung for convenience of transport
7104 91 00Diamonds, excluding for industrial use
7105 00 00Dust and powder of natural or synthetic precious or semi-precious stones
7106 00 00Silver (including silver plated with gold or platinum), unwrought or in semi-manufactured forms, or in powder form
7107 00 00Base metals clad with silver, not further worked than semi-manufactured
7108 00 00Gold (including gold plated with platinum), unwrought or in semi-manufactured forms, or in powder form
7109 00 00Base metals or silver, clad with gold, not further worked than semi-manufactured
7110 11 00Unwrought or in powder form
7110 19 00Other
7110 21 00Unwrought or in powder form
7110 29 00Other
7110 31 00Unwrought or in powder form
7110 39 00Other
7110 41 00Unwrought or in powder form
7110 49 00Other
7111 00 00Base metals, silver or gold, clad with platinum, not further worked than semi-manufactured
7113 00 00Articles of jewellery and parts thereof, of precious metal or of metal clad with precious metal
7114 00 00Articles of goldsmiths’ or silversmiths’ wares and parts thereof, of precious metal or of metal clad with precious metal
7115 00 00Other articles of precious metal or of metal clad with precious metal
7116 00 00Articles of natural or cultured pearls, precious or semi-precious stones (natural, synthetic or reconstructed)

12.  Coins and banknotes, meaning any thing which falls within the commodity codes set out in the following table, provided that such items are not legal tender, —

Commodity codeDescription
4907 00 30Banknotes
7118 10 00Coin (other than gold coin), not being legal tender
7118 90 00Other

13.  Any item of cutlery, bladed or edged instruments and tools falling within the commodity codes set out in the following table, provided such items are comprised of precious metal or plated or clad with precious metal —

Commodity codeDescription
7114 00 00Articles of goldsmiths’ or silversmiths’ wares and parts thereof, of precious metal or of metal clad with precious metal
7115 00 00Other articles of precious metal or of metal clad with precious metal
8214 00 00Other articles of cutlery (for example, hair clippers, butchers’ or kitchen cleavers, choppers and mincing knives, paperknives); manicure or pedicure sets and instruments (including nail files)
8215 00 00Spoons, forks, ladles, skimmers, cake-servers, fish-knives, butter-knives, sugar tongs and similar kitchen or tableware
9307 00 00Swords, cutlasses, bayonets, lances and similar arms and parts thereof and scabbards and sheaths therefor

14.  Tableware of porcelain, china, stoneware or earthenware or fine pottery falling within within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
6911 00 00Tableware, kitchenware, other household articles and toilet articles, of porcelain or china
6912 00 23Stoneware
6912 00 25Earthenware or fine pottery
6912 00 83Stoneware
6912 00 85Earthenware or fine pottery
6914 10 00Of porcelain or china
6914 90 00Other

15.  Items of lead crystal falling within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
7009 91 00Unframed
7009 92 00Framed
7010 00 00Carboys, bottles, flasks, jars, pots, phials, ampoules and other containers, of glass, of a kind used for the conveyance or packing of goods; preserving jars of glass; stoppers, lids and other closures, of glass
7013 22 00Of lead crystal
7013 33 00Of lead crystal
7013 41 00Of lead crystal
7013 91 00Of lead crystal
7018 10 00Glass beads, imitation pearls, imitation precious or semi-precious stones and similar glass smallwares
7018 90 00Other
7020 00 80Other
9405 50 00Non-electrical lamps and lighting fittings
9405 91 00Of glass

16.  Electronic items for domestic use, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £630—

Commodity codeDescription
8414 51Table, floor, wall, window, ceiling or roof fans, with a self-contained electric motor of an output not exceeding 125 watts
8414 59 00Other
8414 60 00Hoods having a maximum horizontal side not exceeding 120 cm
8415 10 00Window or wall types, self-contained or ‘split-system’
8418 10 00Combined refrigerator-freezers, fitted with separate external doors
8418 21 00Compression-type
8418 29 00Other
8418 30 00Freezers of the chest type, not exceeding 800 litres capacity
8418 40 00Freezers of the upright type, not exceeding 900 litres capacity
8419 81 00For making hot drinks or for cooking or heating food
8422 11 00Of the household type
8423 10 00Personal weighing machines, including baby scales; household scales
8443 12 00Offset printing machinery, sheet fed, office type (using sheets with one side not exceeding 22 cm and the other side not exceeding 36 cm in the unfolded state)
8443 31 00Machines which perform two or more of the functions of printing, copying or facsimile transmission, capable of connecting to an automatic data-processing machine or to a network
8443 32 00Other, capable of connecting to an automatic data-processing machine or to a network
8443 39 00Other
8450 11 00Fully-automatic machines
8450 12 00Other machines, with built-in centrifugal drier
8450 19 00Other
8451 21 00Each of a dry linen capacity not exceeding 10 kg
8452 10 00Sewing machines of the household type
8470 10 00Electronic calculators capable of operation without an external source of electric power and pocket-size data-recording, reproducing and displaying machines with calculating functions
8470 21 00Incorporating a printing device
8470 29 00Other
8470 30 00Other calculating machines
8471 00 00Automatic data-processing machines and units thereof; magnetic or optical readers, machines for transcribing data onto data media in coded form and machines for processing such data, not elsewhere specified or included
8472 90 80Other
8479 60 00Evaporative air coolers
8508 11 00Of a power not exceeding 1,500 watts and having a dust bag or other receptacle capacity not exceeding 20 litres
8508 19 00Other
8508 60 00Other vacuum cleaners
8509 80 00Other appliances
8516 31 00Hairdryers
8516 50 00Microwave ovens
8516 60 10Cookers (incorporating at least an oven and a hob)
8516 71 00Coffee or tea makers
8516 72 00Toasters
8516 79 00Other
8517 11 00Line telephone sets with cordless handsets
8517 13 00Smartphones
8517 18 00Other
8517 61 00Base stations
8517 62 00Machines for the reception, conversion and transmission or regeneration of voice, images or other data, including switching and routing apparatus
8517 69 00Other
8526 91 00Radio navigational aid apparatus
8529 10 65Inside aerials for radio or television broadcast receivers, including built-in types
8529 10 69Other
8531 10 00Burglar or fire alarms and similar apparatus
8543 70 10Electrical machines with translation or dictionary functions
8543 70 30Aerial amplifiers
8543 70 50Sunbeds, sunlamps and similar suntanning equipment
8543 70 90Other
9504 50 00Video game consoles and machines, other than those of subheading 9504 30
9504 90 80Other

17.  Electrical/electronic or optical apparatus for recording and reproducing sound and images, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £840—

Commodity codeDescription
8519 00 00Sound recording or sound reproducing apparatus
8521 00 00Video recording or reproducing apparatus, whether or not incorporating a video tuner
8527 00 00Reception apparatus for radio-broadcasting, whether or not combined, in the same housing, with sound recording or reproducing apparatus or a clock
8528 71 00Not designed to incorporate a video display or screen
8528 72 00Other, colour
9006 00 00Photographic (other than cinematographic) cameras; photographic flashlight apparatus and flashbulbs other than discharge lamps of heading 8539
9007 00 00Cinematographic cameras and projectors, whether or not incorporating sound recording or reproducing apparatus

18.  Vehicles, except ambulances, for the transport of persons on earth, air or sea, teleferics, chairlifts, ski-draglines, traction mechanisms for funiculars and motorbikes, as well as their accessories and spare parts, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price exceeds—

(a)£42,000 per vehicle,

(b)£4,200 per teleferic, chairlift, ski-dragline, traction mechanism for funiculars or motorbike, or

(c)£420 per accessory or spare part,

as applicable—

Commodity codeDescription
4011 10 00Of a kind used on motor cars (including station wagons and racing cars)
4011 20 00Of a kind used on buses or lorries
4011 30 00Of a kind used on aircraft
4011 40 00Of a kind used on motorcycles
4011 90 00Other
7009 10 00Rear-view mirrors for vehicles
8407 00 00Spark-ignition reciprocating or rotary internal combustion piston engines
8408 00 00Compression-ignition internal combustion piston engines (diesel or semi-diesel engines)
8409 00 00Parts suitable for use solely or principally with the engines of heading 8407 or 8408
8411 00 00Turbojets, turbopropellers and other gas turbines
8428 60 00Teleferics, chairlifts, ski-draglines, traction mechanisms for funiculars
8431 39 00Parts and acccessories of teleferics, chairlifts, ski-draglines, traction mechanisms for funiculars
8483 00 00Transmission shafts (including cam shafts and crank shafts) and cranks; bearing housings and plain shaft bearings; gears and gearing; ball or roller screws; gear boxes and other speed changers, including torque converters; flywheels and pulleys, including pulley blocks; clutches and shaft couplings (including universal joints)
8511 00 00Electrical ignition or starting equipment of a kind used for spark-ignition or compression-ignition internal combustion engines (for example, ignition magnetos, magneto-dynamos, ignition coils, sparking plugs and glow plugs, starter motors); generators (for example, dynamos, alternators) and cut-outs of a kind used in conjunction with such engines
8512 20 00Other lighting or visual signalling equipment
8512 30 10Burglar alarms of a kind used for motor vehicles
8512 30 90Other
8512 40 00Windscreen wipers, defrosters and demisters
8544 30 00Ignition wiring sets and other wiring sets of a kind used in vehicles, aircraft or ships
8603 00 00Self-propelled railway or tramway coaches, vans and trucks, other than those of heading 8604
8605 00 00Railway or tramway passenger coaches, not self-propelled; luggage vans, post office coaches and other special purpose railway or tramway coaches, not self-propelled (excluding those of heading 8604 )
8607 00 00Parts of railway or tramway locomotives or rolling stock
8702 00 00Motor vehicles for the transport of ten or more persons, including the driver
8703 00 00Motor cars and other motor vehicles principally designed for the transport of persons (other than those of heading 8702), including station wagons and racing cars, including snowmobiles
8706 00 00Chassis fitted with engines, for the motor vehicles of headings 8701 to 8705
8707 00 00Bodies (including cabs), for the motor vehicles of headings 8701 to 8705
8708 00 00Parts and accessories of the motor vehicles of headings 8701 to 8705
8711 00 00Motorcycles (including mopeds) and cycles fitted with an auxiliary motor, with or without side-cars; side-cars
8712 00 00Bicycles and other cycles (including delivery tricycles), not motorised
8714 00 00Parts and accessories of vehicles of headings 8711 to 8713
8716 10 00Trailers and semi-trailers of the caravan type, for housing or camping
8716 40 00Other trailers and semi-trailers
8716 90 00Parts
8901 10 00Cruise ships, excursion boats and similar vessels principally designed for the transport of persons; ferry-boats of all kinds
8901 90 00Other vessels for the transport of goods and other vessels for the transport of both persons and goods
8903 00 00Yachts and other vessels for pleasure or sports; rowing boats and canoes

19.  Clocks and watches and their parts, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
9101 00 00Wristwatches, pocket-watches and other watches, including stopwatches, with case of precious metal or of metal clad with precious metal
9102 00 00Wristwatches, pocket-watches and other watches, including stopwatches, other than those of heading 9101
9103 00 00Clocks with watch movements, excluding clocks of heading 9104
9104 00 00Instrument panel clocks and clocks of a similar type for vehicles, aircraft, spacecraft or vessels
9105 00 00Other clocks
9108 00 00Watch movements, complete and assembled
9109 00 00Clock movements, complete and assembled
9110 00 00Complete watch or clock movements, unassembled or partly assembled (movement sets); incomplete watch or clock movements, assembled; rough watch or clock movements
9111 00 00Watch cases and parts thereof
9112 00 00Clock cases and cases of a similar type for other goods of this chapter, and parts thereof
9113 00 00Watch straps, watch bands and watch bracelets, and parts thereof
9114 00 00Other clock or watch parts

20.  Musical instruments, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £1260—

Commodity codeDescription
9201 00 00Pianos, including automatic pianos; harpsichords and other keyboard stringed instruments
9202 00 00Other string musical instruments (for example, guitars, violins, harps)
9205 00 00Wind musical instruments (for example, keyboard pipe organs, accordions, clarinets, trumpets, bagpipes), other than fairground organs and mechanical street organs
9206 00 00Percussion musical instruments (for example, drums, xylophones, cymbals, castanets, maracas)
9207 00 00Musical instruments, the sound of which is produced, or must be amplified, electrically (for example, organs, guitars, accordions)

21.  Works of art, collectors’ pieces and antiques, meaning any thing which falls within chapter 97.

22.  Articles and equipment for sports, including skiing, golf, diving and water sports, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
4015 19 00Other
4015 90 00Other
6210 40 00Other men’s or boys’ garments
6210 50 00Other women’s or girls’ garments
6211 11 00Men’s or boys’
6211 12 00Women’s or girls’
6211 20 00Ski suits
6216 00 00Gloves, mittens and mitts
6402 12 00Ski-boots, cross-country ski footwear and snowboard boots
6402 19 00Other
6403 12 00Ski-boots, cross-country ski footwear and snowboard boots
6403 19 00Other
6404 11 00Sports footwear; tennis shoes, basketball shoes, gym shoes, training shoes and the like
6404 19 90Other
9004 90 00Other
9020 00 00Other breathing appliances and gas masks, excluding protective masks having neither mechanical parts nor replaceable filters
9506 11 00Skis
9506 12 00Ski-fastenings (ski-bindings)
9506 19 00Other
9506 21 00Sailboards
9506 29 00Other
9506 31 00Clubs, complete
9506 32 00Golf balls
9506 39 00Other
9506 40 00Articles and equipment for table tennis
9506 51 00Lawn-tennis rackets, whether or not strung
9506 59 00Other
9506 61 00Lawn-tennis balls
9506 69 10Cricket and polo balls
9506 69 90Other
9506 70Ice skates and roller skates, including skating boots with skates attached
9506 91Articles and equipment for general physical exercise, gymnastics or athletics
9506 99 10Cricket and polo equipment, other than balls
9506 99 90Other
9507 00 00Fishing rods, fish-hooks and other line fishing tackle; fish landing nets, butterfly nets and similar nets; decoy ‘birds’ (other than those of heading 9208 or 9705) and similar hunting or shooting requisites

23.  Articles and equipment for billiards, automatic bowling, casino games and games operated by coins, banknotes, bank cards, tokens or by any other means of payment, video games consoles and amusement machines, meaning any thing which falls within the commodity codes set out in the following table, provided that the sales price per item exceeds £250—

Commodity codeDescription
9504 20 00Articles and accessories for billiards of all kinds
9504 30 00Other games, operated by coins, banknotes, bank cards, tokens or by any other means of payment, other than automatic bowling alley equipment
9504 40 00Playing cards
9504 30 00Video game consoles and machines, other than those of subheading 9504 50
9504 90 80Other]

Regulation 46C

[F324SCHEDULE 3BU.K.Iron and steel products

Textual Amendments

Part 1U.K.

InterpretationU.K.

1.  Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

PART 2U.K.

Specified productsU.K.

2.  Any thing falling within a commodity code mentioned in column 1 of the following table—

Commodity codeDescription
(1)

GOES means Grain Oriented Electrical Steel.]

7208 10 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 25 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 26 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 27 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 36 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 37 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 38 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 39 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 40 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 52 99Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 53 90Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7208 54 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7211 14 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7211 19 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7212 60 00Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7225 19 10Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7225 30 10Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7225 30 30Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7225 30 90Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7225 40 15Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7225 40 90Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7226 19 10Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7226 91 20Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7226 91 91Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7226 91 99Non Alloy and Other Alloy Hot Rolled Sheets and Strips
7209 15 00Non Alloy and Other Alloy Cold Rolled Sheets
7209 16 90Non Alloy and Other Alloy Cold Rolled Sheets
7209 17 90Non Alloy and Other Alloy Cold Rolled Sheets
7209 18 91Non Alloy and Other Alloy Cold Rolled Sheets
7209 25 00Non Alloy and Other Alloy Cold Rolled Sheets
7209 26 90Non Alloy and Other Alloy Cold Rolled Sheets
7209 27 90Non Alloy and Other Alloy Cold Rolled Sheets
7209 28 90Non Alloy and Other Alloy Cold Rolled Sheets
7209 90 20Non Alloy and Other Alloy Cold Rolled Sheets
7209 90 80Non Alloy and Other Alloy Cold Rolled Sheets
7211 23 20Non Alloy and Other Alloy Cold Rolled Sheets
7211 23 30Non Alloy and Other Alloy Cold Rolled Sheets
7211 23 80Non Alloy and Other Alloy Cold Rolled Sheets
7211 29 00Non Alloy and Other Alloy Cold Rolled Sheets
7211 90 20Non Alloy and Other Alloy Cold Rolled Sheets
7211 90 80Non Alloy and Other Alloy Cold Rolled Sheets
7225 50 20Non Alloy and Other Alloy Cold Rolled Sheets
7225 50 80Non Alloy and Other Alloy Cold Rolled Sheets
7226 20 00Non Alloy and Other Alloy Cold Rolled Sheets
7226 92 00Non Alloy and Other Alloy Cold Rolled Sheets
7209 16 10Electrical Sheets (other than GOES)(1)
7209 17 10Electrical Sheets (other than GOES)
7209 18 10Electrical Sheets (other than GOES)
7209 26 10Electrical Sheets (other than GOES)
7209 27 10Electrical Sheets (other than GOES)
7209 28 10Electrical Sheets (other than GOES)
7225 19 90Electrical Sheets (other than GOES)
7226 19 80Electrical Sheets (other than GOES)
7210 41 00 20Metallic Coated Sheets
7210 41 00 30Metallic Coated Sheets
7210 49 00 20Metallic Coated Sheets
7210 49 00 30Metallic Coated Sheets
7210 61 00 20Metallic Coated Sheets
7210 61 00 30Metallic Coated Sheets
7210 69 00 20Metallic Coated Sheets
7210 69 00 30Metallic Coated Sheets
7212 30 00 20Metallic Coated Sheets
7212 30 00 30Metallic Coated Sheets
7212 50 61 20Metallic Coated Sheets
7212 50 61 30Metallic Coated Sheets
7212 50 69 20Metallic Coated Sheets
7212 50 69 30Metallic Coated Sheets
7225 92 00 20Metallic Coated Sheets
7225 92 00 30Metallic Coated Sheets
7225 99 00 11Metallic Coated Sheets
7225 99 00 22Metallic Coated Sheets
7225 99 00 23Metallic Coated Sheets
7225 99 00 41Metallic Coated Sheets
7225 99 00 45Metallic Coated Sheets
7225 99 00 91Metallic Coated Sheets
7225 99 00 92Metallic Coated Sheets
7225 99 00 93Metallic Coated Sheets
7226 99 30 10Metallic Coated Sheets
7226 99 30 30Metallic Coated Sheets
7226 99 70 11Metallic Coated Sheets
7226 99 70 13Metallic Coated Sheets
7226 99 70 91Metallic Coated Sheets
7226 99 70 93Metallic Coated Sheets
7226 99 70 94Metallic Coated Sheets
7210 20 00Metallic Coated Sheets
7210 30 00Metallic Coated Sheets
7210 90 80Metallic Coated Sheets
7212 20 00Metallic Coated Sheets
7212 50 20Metallic Coated Sheets
7212 50 30Metallic Coated Sheets
7212 50 40Metallic Coated Sheets
7212 50 90Metallic Coated Sheets
7225 91 00Metallic Coated Sheets
7226 99 10Metallic Coated Sheets
7210 41 00 80Metallic Coated Sheets
7210 49 00 80Metallic Coated Sheets
7210 61 00 80Metallic Coated Sheets
7210 69 00 80Metallic Coated Sheets
7212 30 00 80Metallic Coated Sheets
7212 50 61 80Metallic Coated Sheets
7212 50 69 80Metallic Coated Sheets
7225 92 00 80Metallic Coated Sheets
7225 99 00 25Metallic Coated Sheets
7225 99 00 95Metallic Coated Sheets
7226 99 30 90Metallic Coated Sheets
7226 99 70 19Metallic Coated Sheets
7226 99 70 96Metallic Coated Sheets
7210 70 80Organic Coated Sheets
7212 40 80Organic Coated Sheets
7209 18 99Tin Mill products
7210 11 00Tin Mill products
7210 12 20Tin Mill products
7210 12 80Tin Mill products
7210 50 00Tin Mill products
7210 70 10Tin Mill products
7210 90 40Tin Mill products
7212 10 10Tin Mill products
7212 10 90Tin Mill products
7212 40 20Tin Mill products
7208 51 20Non Alloy and Other Alloy Quarto Plates
7208 51 91Non Alloy and Other Alloy Quarto Plates
7208 51 98Non Alloy and Other Alloy Quarto Plates
7208 52 91Non Alloy and Other Alloy Quarto Plates
7208 90 20Non Alloy and Other Alloy Quarto Plates
7208 90 80Non Alloy and Other Alloy Quarto Plates
7210 90 30Non Alloy and Other Alloy Quarto Plates
7225 40 12Non Alloy and Other Alloy Quarto Plates
7225 40 40Non Alloy and Other Alloy Quarto Plates
7225 40 60Non Alloy and Other Alloy Quarto Plates
7219 11 00Stainless Hot Rolled Sheets and Strips
7219 12 10Stainless Hot Rolled Sheets and Strips
7219 12 90Stainless Hot Rolled Sheets and Strips
7219 13 10Stainless Hot Rolled Sheets and Strips
7219 13 90Stainless Hot Rolled Sheets and Strips
7219 14 10Stainless Hot Rolled Sheets and Strips
7219 14 90Stainless Hot Rolled Sheets and Strips
7219 22 10Stainless Hot Rolled Sheets and Strips
7219 22 90Stainless Hot Rolled Sheets and Strips
7219 23 00Stainless Hot Rolled Sheets and Strips
7219 24 00Stainless Hot Rolled Sheets and Strips
7220 11 00Stainless Hot Rolled Sheets and Strips
7220 12 00Stainless Hot Rolled Sheets and Strips
7219 31 00Stainless Cold Rolled Sheets and Strips
7219 32 10Stainless Cold Rolled Sheets and Strips
7219 32 90Stainless Cold Rolled Sheets and Strips
7219 33 10Stainless Cold Rolled Sheets and Strips
7219 33 90Stainless Cold Rolled Sheets and Strips
7219 34 10Stainless Cold Rolled Sheets and Strips
7219 34 90Stainless Cold Rolled Sheets and Strips
7219 35 10Stainless Cold Rolled Sheets and Strips
7219 35 90Stainless Cold Rolled Sheets and Strips
7219 90 20Stainless Cold Rolled Sheets and Strips
7219 90 80Stainless Cold Rolled Sheets and Strips
7220 20 21Stainless Cold Rolled Sheets and Strips
7220 20 29Stainless Cold Rolled Sheets and Strips
7220 20 41Stainless Cold Rolled Sheets and Strips
7220 20 49Stainless Cold Rolled Sheets and Strips
7220 20 81Stainless Cold Rolled Sheets and Strips
7220 20 89Stainless Cold Rolled Sheets and Strips
7220 90 20Stainless Cold Rolled Sheets and Strips
7220 90 80Stainless Cold Rolled Sheets and Strips
7219 21 10Stainless Hot Rolled Quarto Plates
7219 21 90Stainless Hot Rolled Quarto Plates
7214 30 00Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 91 10Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 91 90Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 99 31Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 99 39Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 99 50Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 99 71Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 99 79Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 99 95Non Alloy and Other Alloy Merchant Bars and Light Sections
7215 90 00Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 10 00Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 21 00Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 22 00Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 40 10Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 40 90Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 50 10Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 50 91Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 50 99Non Alloy and Other Alloy Merchant Bars and Light Sections
7216 99 00Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 10 20Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 20 10Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 20 91Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 30 20Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 30 41Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 30 49Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 30 61Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 30 69Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 30 70Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 30 89Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 60 20Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 60 80Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 70 10Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 70 90Non Alloy and Other Alloy Merchant Bars and Light Sections
7228 80 00Non Alloy and Other Alloy Merchant Bars and Light Sections
7214 20 00Rebars
7214 99 10Rebars
7222 11 11Stainless Bars and Light Sections
7222 11 19Stainless Bars and Light Sections
7222 11 81Stainless Bars and Light Sections
7222 11 89Stainless Bars and Light Sections
7222 19 10Stainless Bars and Light Sections
7222 19 90Stainless Bars and Light Sections
7222 20 11Stainless Bars and Light Sections
7222 20 19Stainless Bars and Light Sections
7222 20 21Stainless Bars and Light Sections
7222 20 29Stainless Bars and Light Sections
7222 20 31Stainless Bars and Light Sections
7222 20 39Stainless Bars and Light Sections
7222 20 81Stainless Bars and Light Sections
7222 20 89Stainless Bars and Light Sections
7222 30 51Stainless Bars and Light Sections
7222 30 91Stainless Bars and Light Sections
7222 30 97Stainless Bars and Light Sections
7222 40 10Stainless Bars and Light Sections
7222 40 50Stainless Bars and Light Sections
7222 40 90Stainless Bars and Light Sections
7221 00 10Stainless Wire Rod
7221 00 90Stainless Wire Rod
7213 10 00Non Alloy and Other Alloy Wire Rod
7213 20 00Non Alloy and Other Alloy Wire Rod
7213 91 10Non Alloy and Other Alloy Wire Rod
7213 91 20Non Alloy and Other Alloy Wire Rod
7213 91 41Non Alloy and Other Alloy Wire Rod
7213 91 49Non Alloy and Other Alloy Wire Rod
7213 91 70Non Alloy and Other Alloy Wire Rod
7213 91 90Non Alloy and Other Alloy Wire Rod
7213 99 10Non Alloy and Other Alloy Wire Rod
7213 99 90Non Alloy and Other Alloy Wire Rod
7227 10 00Non Alloy and Other Alloy Wire Rod
7227 20 00Non Alloy and Other Alloy Wire Rod
7227 90 10Non Alloy and Other Alloy Wire Rod
7227 90 50Non Alloy and Other Alloy Wire Rod
7227 90 95Non Alloy and Other Alloy Wire Rod
7216 31 10Angles, Shapes and Sections of Iron or Non Alloy Steel
7216 31 90Angles, Shapes and Sections of Iron or Non Alloy Steel
7216 32 11Angles, Shapes and Sections of Iron or Non Alloy Steel
7216 32 19Angles, Shapes and Sections of Iron or Non Alloy Steel
7216 32 91Angles, Shapes and Sections of Iron or Non Alloy Steel
7216 32 99Angles, Shapes and Sections of Iron or Non Alloy Steel
7216 33 10Angles, Shapes and Sections of Iron or Non Alloy Steel
7216 33 90Angles, Shapes and Sections of Iron or Non Alloy Steel
7301 10 00Sheet Piling
7302 10 22Railway Material
7302 10 28Railway Material
7302 10 40Railway Material
7302 10 50Railway Material
7302 40 00Railway Material
7306 30 41Other tubes, pipes
7306 30 49Other tubes, pipes
7306 30 72Other tubes, pipes
7306 30 77Other tubes, pipes
7306 61 10Hollow sections
7306 61 92Hollow sections
7306 61 99Hollow sections
7304 11 00Seamless Stainless Tubes and Pipes
7304 22 00Seamless Stainless Tubes and Pipes
7304 24 00Seamless Stainless Tubes and Pipes
7304 41 00Seamless Stainless Tubes and Pipes
7304 49 83Seamless Stainless Tubes and Pipes
7304 49 85Seamless Stainless Tubes and Pipes
7304 49 89Seamless Stainless Tubes and Pipes
7304 19 10Other Seamless Tubes
7304 19 30Other Seamless Tubes
7304 19 90Other Seamless Tubes
7304 23 00Other Seamless Tubes
7304 29 10Other Seamless Tubes
7304 29 30Other Seamless Tubes
7304 29 90Other Seamless Tubes
7304 31 20Other Seamless Tubes
7304 31 80Other Seamless Tubes
7304 39 30Other Seamless Tubes
7304 39 50Other Seamless Tubes
7304 39 82Other Seamless Tubes
7304 39 83Other Seamless Tubes
7304 39 88Other Seamless Tubes
7304 51 81Other Seamless Tubes
7304 51 89Other Seamless Tubes
7304 59 82Other Seamless Tubes
7304 59 83Other Seamless Tubes
7304 59 89Other Seamless Tubes
7304 90 00Other Seamless Tubes
7305 11 00Large welded tubes
7305 12 00Large welded tubes
7305 19 00Large welded tubes
7305 20 00Large welded tubes
7305 31 00Large welded tubes
7305 39 00Large welded tubes
7305 90 00Large welded tubes
7306 11 00Other Welded Pipes
7306 19 00Other Welded Pipes
7306 21 00Other Welded Pipes
7306 29 00Other Welded Pipes
7306 30 12Other Welded Pipes
7306 30 18Other Welded Pipes
7306 30 80Other Welded Pipes
7306 40 20Other Welded Pipes
7306 40 80Other Welded Pipes
7306 50 21Other Welded Pipes
7306 50 29Other Welded Pipes
7306 50 80Other Welded Pipes
7306 69 10Other Welded Pipes
7306 69 90Other Welded Pipes
7306 90 00Other Welded Pipes
7215 10 00Non-alloy and other alloy cold finished bars
7215 50 11Non-alloy and other alloy cold finished bars
7215 50 19Non-alloy and other alloy cold finished bars
7215 50 80Non-alloy and other alloy cold finished bars
7228 10 90Non-alloy and other alloy cold finished bars
7228 20 99Non-alloy and other alloy cold finished bars
7228 50 20Non-alloy and other alloy cold finished bars
7228 50 40Non-alloy and other alloy cold finished bars
7228 50 61Non-alloy and other alloy cold finished bars
7228 50 69Non-alloy and other alloy cold finished bars
7228 50 80Non-alloy and other alloy cold finished bars
7217 10 10Non Alloy Wire
7217 10 31Non Alloy Wire
7217 10 39Non Alloy Wire
7217 10 50Non Alloy Wire
7217 10 90Non Alloy Wire
7217 20 10Non Alloy Wire
7217 20 30Non Alloy Wire
7217 20 50Non Alloy Wire
7217 20 90Non Alloy Wire
7217 30 41Non Alloy Wire
7217 30 49Non Alloy Wire
7217 30 50Non Alloy Wire
7217 30 90Non Alloy Wire
7217 90 20Non Alloy Wire
7217 90 50Non Alloy Wire
7217 90 90Non Alloy Wire

Regulation 21

[F325SCHEDULE 3CU.K.DEFENCE AND SECURITY GOODS AND DEFENCE AND SECURITY TECHNOLOGY

Textual Amendments

PART 1U.K.PRELIMINARY

Application to non-government controlled Ukrainian territoryU.K.

1.  Regulation 53A applies, subject to paragraph 2, in relation to all the goods and technology specified in Parts 2, 3 and 4.

CAS numbersU.K.

2.—(1) For the purposes of this Schedule “CAS Number” when followed by a numerical sequence is a reference to the CAS Registry Numbers assigned to chemicals by the Chemical Abstracts Service.

(2) But regulation 53A applies to chemicals of the same structural formula (including hydrates) regardless of name or CAS Number.

PART 2U.K.Interception and monitoring goods and interception and monitoring technology

Interception and monitoring equipmentU.K.

1.  This Part applies to any goods which can perform any of the following functions (whether individually or as part of a system)—

(a)deep packet inspection;

(b)network interception, including associated systems management and data retention functions;

(c)radio frequency monitoring, including associated processing or examination;

(d)network and satellite jamming;

(e)remote infection;

(f)speaker recognition, including associated processing functions;

(g)IMSI, MSISDN, IMEI and TMSI interception and monitoring;

(h)tactical SMS, GSM, GPS, GPRS, UMTS, CDMA, and PSTN interception and monitoring;

(i)DHCP, SMTP and GTP information interception and monitoring;

(j)pattern recognition and pattern profiling;

(k)remote forensics;

(l)semantic processing;

(m)WEP and WPA code breaking;

(n)interception of VoIP (including proprietary and standard protocols).

2.  Any software which can perform any of the functions described in paragraph 1(a) to (n) (whether individually or as part of a system).

Other software and other technologyU.K.

3.  Any software or other technology which is specially designed for the development, production or use of any goods or software described in paragraph 1 or 2.

InterpretationU.K.

4.  For the purposes of this Part, the following terms have the meaning given to them in the Dual-Use Regulation—

“development”;

“production”;

“software”;

“technology”;

“use”.

PART 3U.K.Internal repression goods and internal repression technology

Firearms and related goodsU.K.

1.  Firearms, ammunition and related accessories, as follows—

(a)firearms;

(b)ammunition specially designed for firearms;

(c)weapon-sights.

2.  Simulators for training persons to use firearms.

3.  Bombs and grenades.

VehiclesU.K.

4.—(1) Subject to sub-paragraph (3), the following types of vehicles—

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

(b)vehicles specially designed or modified to be electrified to repel boarders;

(c)vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;

(d)vehicles specially designed for the transport or transfer of prisoners or detainees;

(e)vehicles specially designed to deploy mobile barriers.

(2) Components for the vehicles specified in sub-paragraphs (1)(a) to (e) that have been designed for the purposes of riot control.

(3) Vehicles that might otherwise fall within sub-paragraph (1)(a) to (e) are not internal repression goods if they are specially designed for the purposes of fire-fighting.

(4) For the purposes of this paragraph, “vehicle” includes a trailer.

Explosive substances and related goodsU.K.

5.—(1) Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including—

(a)firing sets;

(b)detonators; (codes for electric detonators and detonating caps);

(c)igniters;

(d)boosters;

(e)detonating cord.

(2) Components that have been specially designed for any thing mentioned in sub-paragraph (1).

(3) Sub-paragraphs (1) and (2) do not apply to any thing that has been specially designed for a specific commercial use.

(4) For the purpose of sub-paragraph (3), a “specific commercial use” means the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions, including—

(a)car air-bag inflaters;

(b)electric-surge arresters;

(c)fire sprinkler actuators.

(5) Linear cutting explosive charges.

(6) The following explosives and related substances—

(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).

Other goodsU.K.

6.—(1) Subject to sub-paragraph (2), the following equipment designed for the protection of a person—

(a)body armour providing ballistic or stabbing protection or both;

(b)helmets providing ballistic or fragmentation protection, or both, including anti-riot helmets;

(c)anti-riot shields and ballistic shields.

(2) Sub-paragraph (1) does not apply to—

(a)any thing specially designed to protect persons for the following purposes—

(i)participation in competitive sport;

(ii)ensuring safety at work;

(b)any thing mentioned in sub-paragraph (1)(a) or (b) when accompanying a person for that person’s own protection.

7.  Night vision equipment.

8.  Thermal imaging equipment.

9.  Image intensifier tubes.

10.  Razor barbed wire.

11.  The following types of knives—

(a)knives that are designed for use by military personnel (military knives);

(b)knives that are designed for use as a weapon for inflicting injury (combat knives);

(c)bayonets with blade lengths in excess of 10 cm.

12.  Law enforcement striking weapons, including saps, police batons, side handle batons, tonfas, sjamboks, and whips.

13.—(1) Handcuffs, straitjackets and specially designed components and accessories.

(2) Sub-paragraph (1) does not apply to—

(a)medical devices that are equipped to restrain patient movement during medical procedures;

(b)devices which confine memory impaired patients to appropriate medical facilities.

14.  Technology exclusively for the development or production of equipment controlled by paragraph 15.

15.  Chemical agents, including tear gas formulation containing 1 per cent. or less of orthochlorobenzalmalononitrile (CS), or 1 per cent. or less of chloroacetophenone (CN), except in individual containers with a net weight of 20 grams or less; liquid pepper except when packaged in individual containers with a net weight of 3 ounces (85.05 grams) or less; smoke bombs; non-irritant smoke flares, canisters, grenades and charges; and other pyrotechnic articles having dual military and commercial use, and specially designed components thereof.

16.  Fingerprinting powders, dyes, and inks.

Production equipmentU.K.

17.  Any equipment which is specially designed or modified for the development or for one or more of the production phases of any item mentioned in paragraphs 1 to 13 of this Part.

Software and technologyU.K.

18.  Any software which is specially designed for the simulators mentioned in paragraph 2.

19.  Any technology which is specially designed for the development, production or use of any item mentioned in paragraphs 1 to 11.

InterpretationU.K.

20.—(1) In this Part, “firearm” means any portable barrelled weapon that expels, is designed to expel or may be converted to expel, a shot, bullet or projectile by the action of a combustible propellant.

(2) For the purposes of this Schedule, the following terms have the meaning given to them in Annex I of the Dual-Use Regulation—

“development”;

“production”;

“software”;

“technology”;

“use”.

PART 4U.K.Chemicals and equipment

Chemicals

Chemical NameCAS NumberRegulation 53A applies?
Aluminium chloride(7446-70-0)
Dichloromethane(75-09-2)
N,N-Dimethylaniline(121-69-7)
Isopropyl bromide(75-26-3)
Isopropyl ether(108-20-3)
Monoisopropylamine(75-31-0)
Potassium Bromide(7758-02-3)
Pyridine(110-86-1)
Sodium bromide(7647-15-6)
Sodium metal(7440-23-5)
Tributylamine(102-82-9)
Triethylamine(121-44-8)
Trimethylamine(75-50-3)
Diethylenetriamine(111-40-0)
Butyrylcholinesterase (BCHE)Not ApplicableYes
Pyridostigmine bromide(101-26-8)
Obidoxime chloride(114-90-9)
Acetylene(CAS 74-86-2)
Acetone(CAS 67-64-1)
Antimony(CAS 7440-36-0)
Arsenic(CAS 7440-38-2)
Arsenic trioxide(CAS 1327-53-3)
Bis(2-chloroethyl)ethylamine hydrochloride(CAS 3590-07-6)
Bis(2-chloroethyl)methylamine hydrochloride(CAS 55-86-7)
Benzil(CAS 134-81-6)
Benzaldehyde(CAS 100-52-7)
Benzoin(CAS 119-53-9)
2-bromochloroethane(CAS 107-04-0)
Chlorine(CAS 7782-50-5)
Diethyl ether(CAS 60-29-7)
Dimethyl ether(CAS 115-10-6)
Dimethylaminoethanol(CAS 108-01-0)
Dicyclohexylamine (DCA)(CAS 101-83-7)
Ethylene(CAS 74-85-1)
Ethylene dichloride(CAS 107-06-2)
2-methoxyethanol(CAS 109-86-4)
Ethyl bromide(CAS 74-96-4)
Ethyl chloride(CAS 75-00-3)
Ethylamine(CAS 75-04-7)
Ethylene oxide(CAS 75-21-8)
Fluorapatite(CAS 1306-05-4)
Hexamine(CAS 100-97-0)Yes
Hydrogen sulfide(CAS 7783-06-4)
Isocyanatomethane(CAS 624-83-9)
Isopropanol, 95% concentration or greater(CAS 67-63-0)
Mandelic acid(CAS 90-64-2)
Methylamine(CAS 74-89-5)
Methyl bromide(CAS 74-83-9)
Methyl chloride(CAS 74-87-3)
Methyl iodide(CAS 74-88-4)
Methylmercaptan(CAS 74-93-1)
Monoethylene Glycol (MEG)(CAS 107-21-1)
Nitromethane(CAS 75-52-5)
Oxalyl chloride(CAS 79-37-8)
Picric acid(CAS 88-89-1)
Potassium sulfide(CAS 1312-73-8)
Potassium thiocyanate(CAS 333-20-0)
Quinaldine(CAS 91-63-4)
Thiophosphoryl chloride(CAS 3982-91-0)
Tributylphosphite(CAS 102-85-2)
Triisobutylphosphite(CAS 1606-96-8)
Tris(2-chloroethyl)amine hydrochloride(CAS 817-09-4)
Sodium hypochlorite(CAS 7681-52-9)
Sulfur trioxide(CAS 7446-11-9)
White/yellow phosphorus(CAS 12185-10-3, 7723-14-0)
Mercury(7439‐97‐6)
Barium chloride(10361‐37‐2)
Sulphuric acid, with a concentration by weight of 90% or greater(7664‐93‐9)
3,3‐dimethyl‐1‐butene(558‐37‐2)
2,2‐dimethylpropanal(630‐19‐3)
2,2‐dimethylpropylchloride(753‐89‐9)
2‐methylbutene(26760‐64‐5)
2‐chloro‐3‐methylbutane(631‐65‐2)
2,3‐dimethyl‐2,3‐butanediol(76‐09‐5)
2‐methyl‐2‐butene(513‐35‐9)
Butyl lithium(109‐72‐8)
Bromo(methyl)magnesium(75‐16‐1)
Formaldehyde(50‐00‐0)
Diethanolamine(111‐42‐2)
Dimethylcarbonate(616‐38‐6)
Methyldiethanolamine hydrochloride(54060‐15‐0)
Methanol(67‐56‐1)
Ethanol(64‐17‐5)Yes
1‐butanol(71‐36‐3)
2‐butanol(78‐92‐2)
Iso‐butanol(78‐83‐1)
Tert‐butanol(75‐65‐0)
Cyclohexanol(108‐93‐0)
Diethylamine hydrochloride(660‐68‐4)
Diisopropylamine hydrochloride(819‐79‐4)
3‐Quinuclidinone hydrochloride(1193‐65‐3)
3‐Quinuclidinol hydrochloride(6238‐13‐7)
(R)‐3‐ Quinuclidinol hydrochloride(42437‐96‐7)
N,N‐Diethylaminoethanol hydrochloride(14426‐20‐1)
Acetyl-alpha-methylfentanyl101860-00-8
Alfentanil71195-58-9
Alpha-methylfentanyl79704-88-4
Alpha-methylthiofentanyl103963-66-2
Beta-hydroxyfentanyl78995-10-5
Beta-hydroxy-3-methylfentanyl78995-14-9
Fentanyl437-38-7
3-methylfentanyl42045-86-3
3-methylthiofentanyl86052-04-2
Para-fluorofentanyl90736-23-5
Remifentanil132875-61-7
Sufentanil56030-54-7
Thiofentanyl60771-38-2
Acryloylfentanyl (Acrylfentanyl)82003-75-6
Carfentanil59708-52-0
4-Fluoroisobutyrfentanyl (4-FIBF, pFIBF)244195-32-2
Furanyl fentanyl101345-66-8
Ocfentanil101343-69-5
Tetrahydrofuranyl fentanyl (THF-F)2142571-01-3
Cyclopropylfentanyl1169-68-2
Methoxyacetylfentanyl101345-67-9
Orthofluorofentanyl910616-29-4
Parafluorobutyrylfentanyl244195-31-1
Crotonylfentanyl760930-59-4
Valerylfentanyl122882-90-0
4-Anilino-N-phenethylpiperidine (ANPP)21409-26-7
N-Phenethyl-4-piperidone (NPP)39742-60-4
Dialkyl(≤C10) chlorophosphatesN/A
Dialkyl(≤C10) fluorophosphatesN/A
N,N-Methylisopropylacetamidine1339185-57-7
N,N-Methylethylacetamidine1339632-40-4
N,N-Ethylisopropylacetamidine1339156-10-3
N,N-Methylpropylacetamidine1344238-28-3
N,N-Ethylpropylacetamidine1339737-43-7
N,N-Isopropylpropylacetamidine1341389-98-7
N,N-Methylethylpropanamidine1339424-26-8
N,N-Ethylisopropylpropanamidine1344354-09-1
N,N-Methylpropylpropanamidine1340216-25-2
N,N-Ethylpropylpropanamidine1341493-60-4
N,N-Isopropylpropylpropanamidine1343225-93-3
N,N-Methylisopropylpropanamidine1339042-55-5
N,N-Methylethylbutanamidine1341049-51-1
N,N-Methylpropylbutanamidine1343721-02-7
N,N-Ethylpropylbutanamidine1343806-12-1
N,N-Isopropylpropylbutanamidine1343316-02-8
N,N-Methylisopropylbutanamidine1340219-94-4
N,N-Ethylisopropylbutanamidine1342204-10-7
N,N-Methylethylisobutanamidine1342365-47-2
N,N-Ethylpropylisobutanamidine1342566-58-8
N,N-Methylpropylisobutanamidine1342270-21-6
N,N-Isopropylpropylisobutanamidine1342156-11-9
N,N-Methylisopropylisobutanamidine1341992-96-8
N,N-Ethylisopropylisobutanamidine1339048-76-8
N,N-Dimethylacetamidine hydrobromide1801188-12-4
N,N-Dimethylacetamidine hydrochloride2909-15-1
N,N-Diethylacetamidine hydrochloride91400-32-7
N,N-Diethylacetamidine hydrobromide78053-54-0
N,N-Dimethylpropanamidine dihydrochloride79972-73-9
N,N-Dimethylpropanamidine hydrochloride56776-15-9

Equipment

ItemRegulation 53A applies?

Floor-mounted fume hoods (walk-in style) with a minimum nominal width of 2.5 metres.

Full face-mask air-purifying and air-supplying respirators.

Yes

Class II biosafety cabinets and glove boxes.

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

Fermenters with an internal volume of 10 L – 20 L, usable with biological materials.

Yes

Reaction vessels, reactors, agitators, heat exchangers, condensers, pumps (including single seal pumps), valves, storage tanks, containers, receivers, and distillation or absorption columns that meet AG performance parameters, regardless of their materials of construction.

Yes

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

Vacuum pumps with a manufacturer’s specified maximum flow-rate greater than 1 m3/h (under standard temperature and pressure conditions), casings (pump bodies), preformed casing-liners, impellers, rotors, and jet pump nozzles designed for such pumps, in which all surfaces that come into direct contact with the chemicals being processed are made from controlled materials.

Laboratory equipment, including parts and accessories for such equipment, for the analysis or detection, destructive or non-destructive, of chemical substances.

Whole chlor-alkali electrolysis cells – mercury, diaphragm, and membrane.

Titanium electrodes (including those with coatings produced from other metal oxides), specially designed for use in chlor-alkali cells.

Nickel electrodes (including those with coatings produced from other metal oxides), specially designed for use in chlor-alkali cells.

Bipolar titanium nickel electrodes (including those with coatings produced from other metal oxides), specially designed for use in chlor-alkali cells.

Asbestos diaphragms specially designed for use in chlor-alkali cells.

Fluoropolymer based diaphragms specially designed for use in chlor-alkali cells.

Fluoropolymer based ion exchange membranes specially designed for use in chlor-alkali cells.

Compressors specially designed to compress wet or dry chlorine, regardless of material of construction.

Microwave reactors—

Machinery, plant or laboratory equipment, whether or not electrically heated, for the treatment of materials by a process involving a change of temperature such as heating 84 19 89 98 00.

Yes

Microreactors—

Instruments and apparatus for physical or chemical analysis: 90 27 89 90 00 BE (classified similar item to 90 27 80 17 90, now invalid due to code changes), for similar microreactors.

Solid & Liquid Aerosol generating equipment—

Mechanical appliances (whether or not hand-operated), for projecting, dispersing or spraying liquids or powders: 84 24 89 70 00.

Laboratory equipment

ItemRegulation 53A applies?
Next-generation (second generation) and third generation DNA and RNA sequencers
PCR Machines and qPCR (real-time) PCR machinesYes
Solid phase DNA and RNA synthesisers
Peptide synthesizers
Automated nucleic acid extraction systems
Ultracentrifuges
Probe sonicators
Fast protein liquid chromatography (FPLC) systems (medium pressure chromatography systems)
Cell disruptors and tissue homogenisers, with a volume of 1 L or greater

Associated Parts and Consumables

ItemRegulation 53A applies?
Next generation (second generation) and third generation DNA and RNA sequencersDNA and RNA sequencing reagent kitsYes
Library and template preparation kits
Cluster generation kitsYes
Flow cellsYes
PCR Machines and qPCR (real-time) PCR machinesYes
Solid phase DNA and RNA synthesisersNucleoside phosphoramidites
Columns
Solid support resinYes
Reagent kitsYes
Synthesis reagentsYes
Peptide synthesizersFmoc and T-Boc protected amino acids
ResinsYes
Synthesis reagentsYes
Automated nucleic acid extraction systemsReagentsYes
Rotor adapters
UltracentrifugesUltracentrifuge rotors with total capacity 1 L or greater
Probe sonicatorsSonicator probes over 25mm diameter
High volume (1 L or greater) sonicator continuous flow cell
Fast protein liquid chromatography (FPLC) systems (medium pressure chromatography systems)FPLC columns
ReagentsYes
Cell disruptors and tissue homogenisers

Other related items

ItemRegulation 53A applies?
0B999 Specific processing equipment as follows:
a. Ring magnets.Yes
b. Hot cells.
c. Glove boxes suitable for use with radioactive materials.
0D999 Specific software, as follows:
a. Software for neutronic calculations/modelling;
b. Software for radiation transport calculations/modelling;
c. Software for hydrodynamic calculations/modelling.Yes
1A995 Protective and detection equipment as follows and specially designed components therefor.
a. Personal radiation monitoring dosimeters;

b. Equipment limited by design or function to protect against hazards specific to civil industries, such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or to the food industry.

Note: This entry does not control items for protection against chemical or biological agents that are consumer goods, packaged for retail sale or personal use, or medical products, such as latex exam gloves, latex surgical gloves, liquid disinfectant soap, disposable surgical drapes, surgical gowns, surgical foot covers, and surgical masks.

1A999 Specific processing equipment as follows:
Radiation detection, monitoring and measurement equipment
Radiographic detection equipment such as x-ray converters, and storage phosphor image plates.Yes
1C991 Vaccines, immunotoxins, medical products, diagnostic and food testing kits, as follows.
Technical note:- For the purpose of this entry, ‘immunotoxins’ are monoclonal antibodies linked to a toxin with the intention of destroying a specific target cell while leaving adjacent cells intact. For the purpose of this entry, “medical products” are: (1) pharmaceutical formulations designed for testing and human (or veterinary) administration in the treatment of medical conditions, (2) prepackaged for distribution as clinical or medical products. For the purpose of this entry, “diagnostic and food testing kits” are specifically developed, packaged and marketed for diagnostic or public health purposes. For the purpose of this entry, “vaccine” is defined as a medicinal (or veterinary) product in a pharmaceutical formulation that is intended to stimulate a protective immunological response in humans or animals in order to prevent disease in those to whom or to which it is administered.
Technical Note: For purposes of the controls described in this entry ‘toxins’ refers to those toxins, or their subunits, controlled under 1C351.d of Annex I of the Dual-Use Regulation
a. Vaccines containing, or designed for use against, items controlled by 1C351, 1C353 or 1C354 of Annex I of the Dual-Use Regulation;Yes
b. Immunotoxins containing items controlled by 1C351.d of Annex I of the Dual-Use Regulation;Yes
c. Medical products that contain any of the following:Yes
c.1. Toxins controlled by 1C351.d of Annex I of the Dual-Use Regulation (except for botulinum toxins controlled by 1C351.d.3 of Annex I of the Dual-Use Regulation, conotoxins controlled by 1C351.d.6, of Annex I of the Dual-Use Regulation or items controlled for CW reasons under 1C351.d.11 or .d.12 of Annex I of the Dual-Use Regulation); orYes
c.2. Genetically modified organisms or genetic elements controlled by 1C353.a.3 of Annex I of the Dual-Use Regulation (except for those that contain, or code for, botulinum toxins controlled by C351.d.3 of Annex I of the Dual-Use Regulation or conotoxins controlled by 1C351.d.6 of Annex I of the Dual-Use Regulation);Yes
d. Medical products not controlled by 1C991.c that contain any of the following:Yes
d.1. Botulinum toxins controlled by 1C351.d.3 of Annex I of the Dual-Use Regulation;Yes
d.2. Conotoxins controlled by 1C351.d.6 of Annex I of the Dual-Use Regulation; orYes
d.3. Genetically modified organisms or genetic elements controlled by 1C353.a.3 of Annex I of the Dual-Use Regulation that contain, or code for, botulinum toxins controlled by 1C351.d.3 of Annex I of the Dual-Use Regulation or conotoxins controlled by 1C351.d.6 of Annex I of the Dual-Use Regulation;Yes
e. Diagnostic and food testing kits containing items controlled by 1C351.d of Annex I of the Dual-Use Regulation.Yes

1C995 Mixtures that contain chemicals controlled by 1C350 or 1C450 of Annex 1 of the Dual-Use Regulation and medical, analytical, diagnostic, and food testing kits that contain chemicals controlled by 1C350, as follows:

For the purpose of this entry, “medical, analytical, diagnostic, and food testing kits” are pre-packaged materials of defined composition that are specifically developed, packaged and marketed for medical, analytical, diagnostic, or public health purposes.

a. Mixtures containing the following concentrations of precursor chemicals controlled by 1C350 of Annex I of the Dual-Use Regulation:

a.1. Mixtures containing 10 per cent. or less, by weight, of any of the following—

Chemical NameCAS NumberRegulation 53A applies?
Arsenic trichloride;7784-34-1
Benzilic acid;76-93-7
Diethyl ethylphosphonate;78-38-6
Diethyl methylphosphonate;683-08-9
Diethyl methylphosphonite15715-41-0
Diethyl-N,N-dimethylphosphoroamidate;2404-03-7
N,N-Diisopropylaminoethanethiol hydrochloride;41480-75-5
N,N-Diisopropyl-beta-aminoethane thiol;5842-07-9
N,N-Diisopropyl-beta-aminoethanol;96-80-0
N,N-Diisopropyl-beta-aminoethyl chloride;96-79-7
N,N-Diisopropyl-beta-aminoethyl chloride hydrochloride;4261-68-1
Dimethyl ethylphosphonate;6163-75-3
Dimethyl methylphosphonate;756-79-6
N,N-dimethylamino-phosphoryl dichloride;677-43-0
Ethyl phosphonous dichloride [Ethyl phosphinyl dichloride];1498-40-4
Ethyl phosphonus difluoride [Ethyl phosphinyl difluoride];430-78-4
Ethyl phosphonyl dichloride;1066-50-8
Methylphosphonic acid;993-13-5
Methylphosphonothioic dichloride.676-98-2
Pinacolyl alcohol;464-07-3
3-Quinuclidinol;1619-34-7
Thiodiglycol.111-48-8

a.2. Mixtures containing less than 30 per cent., by weight, of:

a.2.a. Any of the following—

Chemical NameCAS NumberRegulation 53A applies?
Diethyl phosphite;762-04-9
Dimethyl phosphite (dimethyl hydrogen phosphite);868-85-9
Ethyldiethanolamine;139-87-7
Phosphorus oxychloride;10025-87-3
Phosphorus pentachloride;10026-13-8
Phosphorus trichloride;7719-12-2
Sulfur dichloride;10545-99-0
Sulfur monochloride;10025-67-9
Thionyl chloride;7719-09-7
Triethanolamine;102-71-6
Triethyl phosphite;122-52-1
Trimethyl phosphite.121-45-9

or

a.2.b. Any of the following single precursor chemicals—

Chemical NameCAS NumberRegulation 53A applies?
Ammonium hydrogen fluoride;1341-49-7
2-Chloroethanol;107-07-3
Diethylamine;109-89-7
N,N-Diethylaminoethanol;100-37-8
Diethyl chlorophosphite;589-57-1
O,O-Diethyl phosphorodithioate;298-06-6
O,O-Diethyl phosphorothioate;2465-65-8
Di-isopropylamine;108-18-9
Dimethylamine;124-40-3
Dimethylamine hydrochloride;506-59-2
Ethyl chlorofluorophosphate;762-77-6
Ethyl dichlorophosphate;1498-51-7
Ethyl difluorophosphate;460-52-6
Hydrogen fluoride;7664-39-3
3-Hydroxyl-1-methylpiperidine;3554-74-3
Methyl benzilate;76-89-1
Methyl chlorofluorophosphate;754-01-8
Methyl dichlorophosphate;677-24-7
Methyl difluorophosphate;22382-13-4
N,N Diethylacetamidine;14277-06-6
N,N-Diethylbutanamidine;53510-30-8
N,N-Diethylformamidine;90324-67-7
N,N Diethylisobutanamidine;1342789-47-2
N,N-Diethylpropanamidine;84764-73-8
N,N-Diisopropylbutanamidine;1315467-17-4
N,N-Diisopropylformamidine;857522-08-8
N,N-Dimethylacetamidine;2909-14-0
N,N-Dimethylbutanamidine;1340437-35-5
N,N-Dimethylformamidine;44205-42-7
N,N-Dimethylisobutanamidine;321881-25-8
N,N-Dimethylpropanamidine;56776-14-8
N,N-Dipropylacetamidine;1339586-99-0
N,N-Dipropylbutanamidine;1342422-35-8
N,N-Dipropylformamidine;48044-20-8
N,N-Dipropylisobutanamidine;1342700-45-1
N,N-Dipropylpropanamidine;1341496-89-6
Phosphorus pentasulfide;1314-80-3
Pinacolone;75-97-8
Potassium bifluoride;7789-29-9
Potassium cyanide;151-50-8
Potassium fluoride;7789-23-3
3-Quinuclidone;3731-38-2
Sodium bifluoride;1333-83-1
Sodium cyanide;143-33-9
Sodium fluoride;7681-49-4
Sodium hexafluorosilicate;16893-85-9
Sodium sulfide;1313-82-2
Triethanolamine hydrochloride;637-39-8
Tri-isopropyl phosphite.116-17-6

b. Mixtures containing the following concentrations of toxic or precursor chemicals controlled by 1C450 of Annex I of the Dual-Use Regulation—

b.1. Mixtures containing the following concentrations of CWC Schedule 2 chemicals controlled by 1C450.a.2, 1C450.b1, 1C450.b2, 1C450.b.3, 1C450.b.4, 1C450.b.5 or 1C450.b.6 of Annex I of the Dual-Use Regulation;

b.1.a. Mixtures containing 1 per cent. or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C450.a.2 of Annex I of the Dual-Use Regulation (i.e., mixtures containing PFIB); or

b.1.b. Mixtures containing 10 per cent. or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C450.b1, 1C450.b2, 1C450.b.3, 1C450.b.4, 1C450.b.5 or 1C450.b.6 of Annex I of the Dual-Use Regulation.

b.2. Mixtures containing less than 30 per cent., by weight, of any single CWC Schedule 3 chemical controlled by 1C450.a.4, 1C450.a.5, 1C450.a.6, 1C450.a.7, 1C450.b.8, of Annex I of the Dual-Use Regulation.

c. “Medical, analytical, diagnostic, and food testing kits” that contain precursor chemicals controlled by the following in an amount not exceeding 300 grams per chemical.

Chemical NameCAS NumberRegulation 53A applies?
Ammonium hydrogen fluoride;1341-49-7Yes to all items in column 1 of this table
2-Chloroethanol;107-07-3
Diethylamine;109-89-7
N,N-Diethylaminoethanol;100-37-8
Diethyl chlorophosphite;589-57-1
O,O-Diethyl phosphorodithioate;298-06-6
O,O-Diethyl phosphorothioate;2465-65-8
Di-isopropylamine;108-18-9
Dimethylamine;124-40-3
Dimethylamine hydrochloride;506-59-2
Ethyl chlorofluorophosphate;762-77-6
Ethyl dichlorophosphate;1498-51-7
Ethyl difluorophosphate;460-52-6
Hydrogen fluoride;7664-39-3
3-Hydroxyl-1-methylpiperidine;3554-74-3
Methyl benzilate;76-89-1
Methyl chlorofluorophosphate;754-01-8
Methyl dichlorophosphate;677-24-7
Methyl difluorophosphate;22382-13-4
N,N Diethylacetamidine;14277-06-6
N,N-Diethylbutanamidine;53510-30-8
N,N-Diethylformamidine;90324-67-7
N,N Diethylisobutanamidine;1342789-47-2
N,N-Diethylpropanamidine;84764-73-8
N,N-Diisopropylbutanamidine;1315467-17-4
N,N-Diisopropylformamidine;857522-08-8
N,N-Dimethylacetamidine;2909-14-0
N,N-Dimethylbutanamidine;1340437-35-5
N,N-Dimethylformamidine;44205-42-7
N,N-Dimethylisobutanamidine;321881-25-8
N,N-Dimethylpropanamidine;56776-14-8
N,N-Dipropylacetamidine;1339586-99-0
N,N-Dipropylbutanamidine;1342422-35-8
N,N-Dipropylformamidine;48044-20-8
N,N-Dipropylisobutanamidine;1342700-45-1
N,N-Dipropylpropanamidine;1341496-89-6
Phosphorus pentasulfide;1314-80-3
Pinacolone;75-97-8
Potassium bifluoride;7789-29-9
Potassium cyanide;151-50-8
Potassium fluoride;7789-23-3
3-Quinuclidone;3731-38-2
Sodium bifluoride;1333-83-1
Sodium cyanide;143-33-9
Sodium fluoride;7681-49-4
Sodium hexafluorosilicate;16893-85-9
Sodium sulfide;1313-82-2
Triethanolamine hydrochloride;637-39-8
Tri-isopropyl phosphite.116-17-6]

Regulation 46S

[F326SCHEDULE 3DU.K.Revenue generating goods

Textual Amendments

1.  Paragraph 1 of Schedule 3 applies for the purpose of interpreting this Schedule.U.K.

2.  A revenue generating good is any thing falling within a commodity code mentioned in column 1 of the following table.U.K.

Commodity code (1)Item (2)
0306Crustaceans, whether in shell or not, live, fresh, chilled, frozen, dried, salted or in brine; smoked crustaceans, whether in shell or not, whether or not cooked before or during the smoking process; crustaceans, in shell, cooked by steaming or by boiling in water, whether or not chilled, frozen, dried, salted or in brine
1604 31 00Caviar
1604 32 00Caviar substitutes
2523Portland cement, aluminous cement, slag cement, supersulphate cement and similar hydraulic cements, whether or not coloured or in the form of clinkers
28251000Hydrazine and hydroxylamine and their inorganic salts
28254000Nickel oxides and hydroxides
28255000Copper oxides and hydroxides
28256000Germanium oxides and zirconium dioxide
28257000Molybdenum oxides and hydroxides
28258000Antimony oxides
28259011Calcium hydroxide of a purity of >= 98% calculated on the dry weight, in the form of particles of which not > 1% by weight have a particle-size > 75 micrometres and not > 4% by weight have a particle-size of < 1,3 micrometres
28259019Calcium oxide, hydroxide and peroxide (excl. calcium hydroxide of a purity of >= 98% calculated on the dry weight, in the form of particles of which not > 1% by weight have a particle-size > 75 micrometres and not > 4% by weight have a particle-size of < 1,3 micrometres)
28259020Beryllium oxide and hydroxide
28259040Tungsten oxides and hydroxides
28259060Cadmium oxide
28259085Inorganic bases and metal oxides, hydroxides and peroxides, n.e.s.
28351000Phosphinates “hypophosphites” and phosphonates “phosphites”
28352200Mono- or disodium phosphate
28352400Phosphates of potassium
28352500Calcium hydrogenorthophosphate “dicalcium phosphate”
28352910Phosphate of triammonium
28352930Phosphate of trisodium
28352990Phosphates (excl. phosphates of triammonium, monosodium, disodium, trisodium, of potassium, of calcium and of mercury)
28353100Sodium triphosphate “sodium tripolyphosphate”, whether or not chemically defined
28353900Polyphosphates, whether or not chemically defined (excl. sodium triphosphate “sodium tripolyphosphate”, and inorganic or organic compounds of mercury whether or not chemically defined)
29012100Ethylene
29012200Propene “propylene”
29012300Butene “butylene” and isomers thereof
29012400Buta-1,3-diene and isoprene
29012900Hydrocarbons, acyclic, unsaturated (excl. ethylene, propene “propylene”, butene “butylene” and isomers thereof and Buta-1,3-diene and isoprene)
2902Cyclic hydrocarbons
29051200Propan-1-ol “propyl alcohol” and propan-2-ol “isopropyl alcohol”
29051300Butan-1-ol “n-butyl alcohol”
290514102-Methylpropan-2-ol “tert-butyl alcohol”
29051490Butanols (excl. butan-1-ol “n-butyl alcohol” and 2-Methylpropan-2-ol “tert-butyl alcohol”)
29051620Octan-2-ol
29051685Octanol “octyl alcohol” and isomers thereof (excl. octan-2-ol)
29051700Dodecan-1-ol “lauryl alcohol”, hexadecan-1-ol “cetyl alcohol” and octadecan-1-ol “stearyl alcohol”
29051900Saturated monohydric acyclic alcohols (excl. methanol “methyl alcohol”, propan-1-ol “propyl alcohol”, propan-2-ol “isopropyl alcohol”, butanols, octanol “octyl alcohol” and isomers thereof, dodecan-1-ol “lauryl alcohol”, hexadecan-1-ol “cetyl alcohol” and octadecan-1-ol “stearyl alcohol”)
29052200Acyclic terpene alcohols
29052910Allyl alcohol
29052990Unsaturated monohydric acyclic alcohols (excl. allyl alcohol and acyclic terpene alcohols)
29053100Ethylene glycol “ethanediol”
29053200Propylene glycol “propane-1,2-diol”
29053920Butane-1,3-diol
29053926Butane-1,4-diol or tetramethylene glycol [1,4-butanediol] having a bio-based carbon content of 100% by mass
29053928Butane-1,4-diol (excl. having a bio-based carbon content of 100%)
290539302,4,7,9-Tetramethyldec-5-yne-4,7-diol
29053995Acyclic diols (excl. ethylene glycol “ethanediol”, propylene glycol “propane-1,2-diol”, butane-1,3-diol, butane-1,4-diol and 2,4,7,9-tetramethyldec-5-yne-4,7-diol)
290541002-Ethyl-2-“hydroxymethyl” propane-1,3-diol “trimethylolpropane”
29054200Pentaerythritol
29054300Mannitol
29054411D-glucitol “sorbitol”, in aqueous solution containing <= 2% by weight of d-mannitol, calculated on the d-glucitol content
29054419D-glucitol “sorbitol” in aqueous solution (excl. containing <= 2% by weight of d-mannitol, calculated on the d-glucitol content)
29054491D-glucitol “sorbitol”, containing <= 2% by weight of d-mannitol, calculated on the d-glucitol content (excl. in aqueous solution)
29054499D-glucitol “sorbitol” (excl. in aqueous solution and containing <= 2% by weight of d-mannitol, calculated on the d-glucitol content)
29054500Glycerol
29054900Tri- and other polyhydric acyclic alcohols (excl. 2-ethyl-2-”hydroxymethyl” propane-1,3-diol “trimethylolpropane”, pentaerythritol, mannitol, d-glucitol “sorbitol” and glycerol)
29055100Ethchlorvynol “INN”
290559912,2-Bis “bromomethyl” propanediol
29055998Halogenated, sulphonated, nitrated or nitrosated derivatives of acyclic alcohols (excl. 2,2-bis”bromomethyl”propanediol and ethchlorvynol “INN”)
2907Phenols; phenol-alcohols
2909Ethers, ether-alcohols, ether-phenols, ether-alcohol-phenols, alcohol peroxides, ether peroxides, acetal and hemiacetal peroxides, ketone peroxides (whether or not chemically defined), and their halogenated, sulphonated, nitrated or nitrosated derivatives
3104 20Potassium chloride
3105 20Mineral or chemical fertilisers containing the three fertilising elements nitrogen, phosphorus and potassium
3105 60Mineral or chemical fertilisers containing the two fertilising elements phosphorus and potassium
3105 90 20Other fertilisers containing potassium chloride
3105 90 80Other fertilisers containing potassium chloride
3902Polymers of propylene or of other olefins, in primary forms
4011New pneumatic tyres, of rubber
44Wood and articles of wood; wood charcoal
4705Wood pulp obtained by a combination of mechanical and chemical pulping processes
4804Uncoated kraft paper and paperboard, in rolls or sheets, other than that of heading 4802 or 4803
6810Articles of cement, of concrete or of artificial stone, whether or not reinforced
7005Float glass and surface ground or polished glass, in sheets, whether or not having an absorbent, reflecting or non-reflecting layer, but not otherwise worked
7007Safety glass, consisting of toughened (tempered) or laminated glass
7010Carboys, bottles, flasks, jars, pots, phials, ampoules and other containers, of glass, of a kind used for the conveyance or packing of goods; preserving jars of glass; stoppers, lids and other closures, of glass
7019Glass fibres (including glass wool) and articles thereof (for example, yarn, rovings, woven fabrics)
7106Silver (including silver plated with gold or platinum), unwrought or in semi-manufactured forms, or in powder form
7606Aluminium plates, sheets and strip, of a thickness exceeding 0.2 mm
7801Unwrought lead
84111100Turbojets of a thrust <= 25 kN
84111210Turbojets of a thrust > 25 kN but <= 44 kN
84111230Turbojets of a thrust > 44 kN but <= 132 kN
84111280Turbojets of a thrust > 132 kN
84112100Turbopropellers of a power <= 1.100 kW
84112220Turbopropellers of a power > 1.100 kW but <= 3.730 kW
84112280Turbopropellers of a power > 3.730 kW
84118100Gas turbines of a power <= 5.000 kW (excluding turbojets and turbopropellers)
84118220Gas turbines of a power > 5.000 kW but <= 20.000 kW (excluding turbojets and turbopropellers)
84118260Gas turbines of a power > 20.000 kW but <= 50.000 kW (excluding turbojets and turbopropellers)
84118280Gas turbines of a power > 50.000 kW (excluding turbojets and turbopropellers)
84119900Parts of gas turbines, n.e.s.
8431Parts suitable for use solely or principally with the machinery of headings 8425 to 8430
8901Cruise ships, excursion boats, ferry-boats, cargo ships, barges and similar vessels for the transport of persons or goods
8904Tugs and pusher craft
8905Light-vessels, fire-floats, dredgers, floating cranes, and other vessels the navigability of which is subsidiary to their main function; floating docks; floating or submersible drilling or production platforms
9403Other furniture and parts thereof]

Regulation 21

[F327SCHEDULE 3EU.K.G7 Dependency and Further Goods List Goods

Textual Amendments

PART 1U.K.General

InterpretationU.K.

1.  Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

PART 2U.K.G7 Dependency and Further Goods List Goods

2.  Any thing falling within a commodity code mentioned in column 1 of the following table.U.K.

(1)

Commodity Code

(2)

Name of the good

0601 10 Bulbs, tubers, tuberous roots, corms, crowns and rhizomes, dormant
0601 20 Bulbs, tubers, tuberous roots, corms, crowns and rhizomes, in growth or in flower; chicory plants and roots
0602 30 Rhododendrons and azaleas, grafted or not
0602 40 Roses, grafted or not
0602 90 Other live plants (including their roots), cuttings and slips; mushroom spawn - Other
0604 20 Foliage, branches and other parts of plants, without flowers or flower buds, and grasses, mosses and lichens, being goods of a kind suitable for bouquets or for ornamental purposes, fresh, dried, dyed, bleached, impregnated or otherwise prepared - Fresh
2508 40 Other clays
2508 70 Chamotte or dinas earths
2509 00 Chalk
2512 00 Siliceous fossil meals (for example, kieselguhr, tripolite and diatomite) and similar siliceous earths, whether or not calcined, of an apparent specific gravity of 1 or less
2515 12 Merely cut, by sawing or otherwise, into blocks or slabs of a rectangular (including square) shape
2515 20 Ecaussine and other calcareous monumental or building stone; alabaster
2518 20 Calcined or sintered dolomite
2519 10 Natural magnesium carbonate (magnesite)
2520 10 Gypsum; anhydrite
2521 00 Limestone flux; limestone and other calcareous stone, of a kind used for the manufacture of lime or cement
2522 10 Quicklime
2522 30 Hydraulic lime
2525 20 Mica powder
2526 20 Natural steatite, whether or not roughly trimmed or merely cut, by sawing or otherwise, into blocks or slabs of a rectangular (including square) shape; talc - Crushed or powdered
2530 20 Kieserite, epsomite (natural magnesium sulphates)
2707 30 Xylol (xylenes)
2708 20 Pitch coke
2712 10 Petroleum jelly
2712 90 Petroleum jelly; paraffin wax, microcrystalline petroleum wax, slack wax, ozokerite, lignite wax, peat wax, other mineral waxes, and similar products obtained by synthesis or by other processes, whether or not coloured:
2715 00 Bituminous mastics, cut-backs and other bituminous mixtures based on natural asphalt, on natural bitumen, on petroleum bitumen, on mineral tar or on mineral tar pitch - Other
2804 10 Hydrogen
2804 30 Nitrogen
2804 40 Oxygen
2804 61 Silicon - Containing by weight not less than 99,99 % of silicon
2806 10 Hydrogen chloride (hydrochloric acid)
2806 20 Chlorosulphuric acid
2811 29 Other inorganic oxygen compounds of non-metals - Other
2813 10 Carbon disulphide
2814 20 Ammonia in aqueous solution
2815 12 Sodium hydroxide (caustic soda) - In aqueous solution (soda lye or liquid soda)
2818 30 aluminium hydroxide
2819 90 Chromium oxides and hydroxides - Other
2820 10 Manganese dioxide
2827 31 Other chlorides - Of magnesium
2827 35 Other chlorides - Of nikel
2829 11 Chlorates - Of sodium
2832 20 Sulphites (excluding sodium sulphites)
2833 24 Sulphates of nickel
2833 30 Alums
2836 30 Sodium hydrogencarbonate (sodium bicarbonate)
2836 50 Calcium carbonate
2839 90 Silicates; commercial alkali metal silicates - Other
2840 30 Peroxoborates (perborates)
2841 50 Other chromates and dichromates; peroxochromates
2841 80 Tungstates (wolframates)
2843 10 Colloidal precious metals
2843 21 Silver nitrate
2843 29 Silver compounds - Other
2843 30 Gold compounds
2847 00 Hydrogen peroxide, whether or not solidified with urea
2901 23 Butene (butylene) and isomers thereof
2901 24 Buta-1,3-diene and isoprene
2902 11 Cyclohexane
2902 30 Toluene
2902 41 o-xylene
2902 43 p-xyle
2902 44 Mixed xylene isomers
2902 50 Styrene
2903 21 Vinyl chloride (chloroethylene)
2903 23 Tetrachloroethylene (perchloroethylene)
2903 29 Unsaturated chlorinated derivatives of acyclic hydrocarbons - Other
2903 76 Bromochlorodifluoromethane (Halon-1211), bromotrifluoromethane (Halon-1301) and dibromotetrafluoroethanes (Halon-2402)
2903 81 1,2,3,4,5,6-Hexachlorocyclohexane (HCH (ISO)), including lindane (ISO, INN)
2903 91 Chlorobenzene, o-dichlorobenzene and p-dichlorobenzene
2904 10 Derivatives containing only sulpho groups, their salts and ethyl esters
2904 31 Perfluorooctane sulphonic acid
2905 16 Octanol (octyl alcohol) and isomers thereof
2905 19 Saturated monohydric alcohols - Other
2905 41 2-Ethyl-2-(hydroxymethyl)propane-1,3-diol (trimethylolpropane)
2905 49Other polyhydric alcohols - Other
2906 13 Sterols and inositols
2906 19 Cyclanic, cyclenic or cycloterpenic -Other
2907 11 Phenol (hydroxybenzene) and its salts
2907 13 Octylphenol, nonylphenol and their isomers; salts thereof
2907 19 Monophenols - Other
2907 22 Hydroquinone (quinol) and its salts
2909 20 Cyclanic, cyclenic or cycloterpenic ethers and their halogenated, sulphonated, nitrated or nitrosated derivatives
2909 41 2,2′-Oxydiethanol (diethylene glycol, digol)
2909 43 Monobutyl ethers of ethylene glycol or of diethylene glycol
2909 49 Ether-alcohols and their halogenated, sulphonated, nitrated or nitrosated derivatives - Other
2910 20 Methyloxirane (propylene oxide)
2911 00 Acetals and hemiacetals, whether or not with other oxygen function, and their halogenated, sulphonated, nitrated or nitrosated derivat
2912 12 Ethanal (acetaldehyde)
2912 49 Aldehyde-alcohols, aldehyde-ethers, aldehyde-phenols and aldehydes with other oxygen function - Other
2912 60 Paraformaldehyde
2914 61 Anthraquinone
2915 13 Esters of formic acid
2915 90 Saturated acyclic monocarboxylic acids and their anhydrides, halides, peroxides and peroxyacids; their halogenated, sulphonated, nitrated or nitrosated derivatives - Other
2916 12 Esters of acrylic acid
2916 13 Methacrylic acid and its salts
2916 14 Esters of methacrylic acid
2916 15 Oleic, linoleic or linolenic acids, their salts and esters
2917 33 Dinonyl or didecyl orthophthalates
2920 11 Parathion (ISO) and parathion-methyl (ISO) (methyl-parathion)
2921 22 Hexamethylenediamine and its salts
2921 41 Aniline and its salts
2922 11 Monoethanolamine and its salts
2922 43 Anthranilic acid and its salts
2923 20 Lecithins and other phosphoaminolipids
2930 40 Methionine
2933 54 Other derivatives of malonylurea (barbituric acid); salts thereof
2933 71 6-Hexanelactam (epsilon-caprolactam)
3201 90 Tanning extracts of vegetable origin; tannins and their salts, ethers, esters and other derivatives
3202 10 Synthetic organic tanning substances
3202 90 Synthetic organic tanning substances; inorganic tanning substances; tanning preparations, whether or not containing natural tanning substances; enzymatic preparations for pre-tanning
3203 00 colouring matter of vegetable or animal origin, incl. dye extracts (excl. animal black), whether or not chemically defined; preparations based on colouring matter of vegetable or animal origin of a kind used to dye fabrics or produce colorant preparations (excl. preparations of heading 3207 , 3208 , 3209 , 3210 , 3213 and 3215 ) - Other
3206 49 inorganic or mineral colouring matter, n.e.s.; preparations based on inorganic or mineral colouring matter of a kind used for colouring any material or produce colorant preparations, n.e.s. (excl. preparations of heading 3207 , 3208 , 3209 , 3210 , 3213 and 3215 and inorganic products of a kind used as liminophores) - Other
3207 2010Engobes (slips)
3207 40 Glass frit and other glass, in the form of powder, granules or flakes
3208 10 Paints and varnishes (including enamels and lacquers) based on synthetic polymers or chemically modified natural polymers, dispersed or dissolved in a non-aqueous medium; solutions as defined in note 4 to Chapter 32 - Based on polyesters
3208 20 Paints and varnishes (including enamels and lacquers) based on synthetic polymers or chemically modified natural polymers, dispersed or dissolved in a non-aqueous medium; solutions as defined in note 4 to Chapter 32 - Based on acrylic or vinyl polymers
3208 90 Paints and varnishes (including enamels and lacquers) based on synthetic polymers or chemically modified natural polymers, dispersed or dissolved in a non-aqueous medium; solutions as defined in note 4 to Chapter 32 -
3209 10 paints and varnishes, incl. enamels and lacquers, based on acrylic or vinyl polymers, dispersed or dissolved in an aqueous medium
3209 90 paints and varnishes, incl. enamels and lacquers, based on synthetic or chemically modified natural polymers, dispersed or dissolved in an aqueous medium (excl. those based on acrylic or vinyl polymers) - Other
3210 00 Other paints and varnishes (including enamels, lacquers and distempers); prepared water pigments of a kind used for finishing leather
3212 90 Pigments (including metallic powders and flakes) dispersed in non- aqueous media, in liquid or paste form, of a kind used in the manufacture of paints (including enamels); stamping foils; dyes and other colouring matter put up in forms or packings for retail sale - Other
3214 10 Glaziers’ putty, grafting putty, resin cements, caulking compounds and other mastics; painters’ fillings
3214 90 Glaziers’ putty, grafting putty, resin cements, caulking compounds and other mastics; painters’ fillings; non-refractory surfacing preparations for façades, indoor walls, floors, ceilings or the like - Other
3403 11 Lubricating preparations (including cutting-oil preparations, bolt or nut release preparations, anti-rust or anti-corrosion preparations and mould-release preparations, based on lubricants) and preparations of a kind used for the oil or grease treatment of textile materials, leather, furskins or other materials, but excluding preparations containing, as basic constituents, 70 % or more by weight of petroleum oils or of oils obtained from bituminous minerals – Containing petroleum oils or oils obtained from bituminous minerals - Preparations for the treatment of textile materials, leather, furskins or other materials
3403 19 Lubricating preparations (including cutting-oil preparations, bolt or nut release preparations, anti-rust or anti-corrosion preparations and mould-release preparations, based on lubricants) and preparations of a kind used for the oil or grease treatment of textile materials, leather, furskins or other materials, but excluding preparations containing, as basic constituents, 70 % or more by weight of petroleum oils or of oils obtained from bituminous minerals – Containing petroleum oils or oils obtained from bituminous minerals - Other
3403 91 Preparations for the treatment of textile materials, leather, furskins or other materials
3403 99 Lubricating preparations (including cutting-oil preparations, bolt or nut release preparations, anti-rust or anti-corrosion preparations and mould-release preparations, based on lubricants) and preparations of a kind used for the oil or grease treatment of textile materials, leather, furskins or other materials, but excluding preparations containing, as basic constituents, 70 % or more by weight of petroleum oils or of oils obtained from bituminous minerals - Other
3505 10 Dextrins and other modified starches
3506 99 Prepared glues and other prepared adhesives, not elsewhere specified or included; products suitable for use as glues or adhesives, put up for retail sale as glues or adhesives, not exceeding a net weight of 1 kg- Other
3701 20 Instant print film
3701 91 For colour photography (polychrome)
3702 32 Other film, with silver halide emulsion
3702 39 Photographic film in rolls, sensitised, unexposed, of any material other than paper, paperboard or textiles; instant print film in rolls, sensitised, unexposed - Other
3702 43 Other film, without perforations, of a width exceeding 105 mm - Of a width exceeding 610 mm and of a length not exceeding 200 m
3702 44 Other film, without perforations, of a width exceeding 105 mm - Of a width exceeding 105 mm but not exceeding 610 mm
3702 55 Other film, for colour photography (polychrome) - Of a width exceeding 16 mm but not exceeding 35 mm and of a length exceeding 30 m
3702 56 Other film, for colour photography (polychrome) - Of a width exceeding 35 mm
3702 97 Other film, for colour photography (polychrome) - Of a width not exceeding 35 mm and of a length exceeding 30 m.
3702 98 photographic film, sensitised, in rolls, unexposed, with perforations, for monochrome photography, width > 35 mm (excl. of paper, paperboard and textiles; x-ray film)
3703 20 photographic paper, paperboard and textiles, sensitised, unexposed, for colour photography ‘polychrome’ (excl. products in rolls > 610 mm wide)
3703 90 photographic paper, paperboard and textiles, sensitised, unexposed, for monochrome photography (excl. products in rolls > 610 mm wide)
3705 00 photographic plates and film, exposed and developed (excl. products made of paper, paperboard or textiles, cinematographic film and ready-to-use printing plates)
3706 10 cinematographic film, exposed and developed, whether or not incorporating soundtrack or consisting only of soundtrack, width >= 35 mm
3801 20 colloidal or semi-colloidal graphite
3806 20 salts of rosin, of resin acids or of derivatives of rosin or resin acids (excl. salts of rosin adducts)
3807 00 wood tar; wood tar oils; wood creosote; wood naphtha; vegetable pitch; brewer’s pitch and similar preparations based on rosin, resin acids or vegetable pitch (excl. burgundy pitch, yellow pitch, stearin pitch, fatty acid pitch, fatty tar and glycerin pitch)
3809 10 finishing agents, dye carriers to accelerate the dyeing or fixing of dyestuffs and other products and preparations such as dressings and mordants of a kind used in the textile, paper, leather or like industries, n.e.s., with a basis of amylaceous substances
3809 91 finishing agents, dye carriers to accelerate the dyeing or fixing of dyestuffs, and other products and preparations, e.g. dressings and mordants of a kind used in the textile or similar industries, n.e.s. (excl. those with a basis of amylaceous substances)
3809 92 finishing agents, dye carriers to accelerate the dyeing or fixing of dyestuffs, and other products and preparations, e.g. dressings and mordants of a kind used in the paper or similar industries, n.e.s. (excl. those with a basis of amylaceous substances)
3809 93 finishing agents, dye carriers to accelerate the dyeing or fixing of dyestuffs, and other products and preparations, e.g. dressings and mordants of a kind used in the leather or similar industries, n.e.s. (excl. those with a basis of amylaceous substances)
3810 10 pickling preparations for metal surfaces; soldering, brazing or welding pastes and powders consisting of metal and other materials
3812 20 compound plasticisers for rubber or plastics, n.e.s.
3813 00 preparations and charges for fire-extinguishers; charged fire-extinguishing grenades (excl. full or empty fire-extinguishing devices, whether or not portable, unmixed chemically undefined products with fire-extinguishing properties in other forms)
3814 00 organic composite solvents and thinners, n.e.s.; prepared paint or varnish removers (excl. nail varnish remover)
3815 11 supported catalysts with nickel or a nickel compound as the active substance, n.e.s.
3815 12 supported catalysts with precious metal or a precious-metal compound as the active substance, n.e.s.
3815 19 supported catalysts, n.e.s. (excl. with precious metal, a precious-metal compound, nickel or a nickel compound as the active substance)
3815 90 reaction initiators, reaction accelerators and catalytic preparations, n.e.s. (excl. rubber accelerators and supported catalysts)
3816 00 10 Dolomite ramming mix
3817 00 Mixed alkylbenzenes and mixed alkylnaphthalenes, other than those of heading 2707 or 2902
3820 00 anti-freezing preparations and prepared de-icing fluids (excl. prepared additives for mineral oils or other liquids used for the same purposes as mineral oils)
3823 13 tall oil fatty acids, industrial
3827 90 Mixtures containing halogenated derivatives of methane, ethane or propane, not elsewhere specified or included (excl. those of subheadings 3827 11 to 3827 69)
3824 99 chemical products and preparations of the chemical or allied industries, incl. those consisting of mixtures of natural products, n.e.s. - other
3825 90 residual products of the chemical or allied industries, n.e.s. (excl. waste)
3826 00 biodiesel and mixtures thereof, not containing or containing < 70 % by weight of petroleum oils or oils obtained from bituminous minerals
3901 40 ethylene-alpha-olefin copolymers, having a specific gravity of < 0,94, in primary forms
3902 20 polyisobutylene, in primary forms
3902 30 propylene copolymers, in primary forms
3902 90 polymers of propylene or of other olefins, in primary forms (excl. polypropylene, polyisobutylene and propylene copolymers)
3903 19 polystyrene, in primary forms (excl. expansible)
3903 90 polymers of styrene, in primary forms (excl. polystyrene, styrene-acrylonitrile copolymers ‘san’ and acrylonitrile-butadiene-styrene ‘abs’)
3904 10 poly‘vinyl chloride’, in primary forms, not mixed with any other substances
3904 50 vinylidene chloride polymers, in primary forms
3905 12 poly‘vinyl acetate’, in aqueous dispersion
3905 19 poly‘vinyl acetate’, in primary forms (excl. in aqueous dispersion)
3905 21 vinyl acetate copolymers, in aqueous dispersion
3905 29 vinyl acetate copolymers, in primary forms (excl. in aqueous dispersion)
3905 91 copolymers of vinyl, in primary forms (excl. vinyl chloride-vinyl acetate copolymers and other vinyl chloride copolymers, and vinyl acetate copolymers)
3906 10 poly‘methyl methacrylate’, in primary forms
3906 90 acrylic polymers, in primary forms (excl. poly‘methyl methacrylate’)
3907 21, 3907 29polyethers, in primary forms (excl. polyacetals)
3907 40 polycarbonates, in primary forms
3907 70 poly‘lactic acid’, in primary forms
3907 91 unsaturated polyallyl esters and other polyesters, in primary forms (excl. polycarbonates, alkyd resins, poly‘ethylene terephthalate’ and poly‘lactic acid’)
3908 10 polyamides-6, -11, -12, -6,6, -6,9, -6,10 or -6,12, in primary forms
3908 90 polyamides, in primary forms (excl. polyamides-6, -11, -12, -6,6, -6,9, -6,10 and -6,12)
3909 20 melamine resins, in primary forms
3909 39 amino-resins, in primary forms (excl. urea, thiourea and melamine resins and mdi)
3909 50 polyurethanes, in primary forms
3912 11 non-plasticised cellulose acetates, in primary forms
3912 90 cellulose and chemical derivatives thereof, n.e.s., in primary forms (excl. cellulose acetates, cellulose nitrates and cellulose ethers)
3915 20 waste, parings and scrap, of polymers of styrene
3917 10 artificial guts ‘sausage casings’ of hardened protein or cellulose materials
3917 23 rigid tubes, pipes and hoses, of polymers of vinyl chloride
3917 31 flexible tubes, pipes and hoses, of plastics, burst pressure >= 27,6 mpa
3917 32 flexible tubes, pipes and hoses of plastics, not reinforced or otherwise combined with other materials, without fittings
3917 33 flexible tubes, pipes and hoses of plastics, not reinforced or otherwise combined with other materials, with fittings, seals or connectors
3920 10 plates, sheets, film, foil and strip, of non-cellular polymers of ethylene, not reinforced, laminated, supported or similarly combined with other materials, without backing, unworked or merely surface-worked or merely cut into squares or rectangles (excl. self-adhesive products, and floor, wall and ceiling coverings of heading 3918 )
3920 61 plates, sheets, film, foil and strip, of non-cellular polycarbonates, not reinforced, laminated, supported or similarly combined with other materials, without backing, unworked or merely surface-worked or merely cut into squares or rectangles (excl. those of poly‘methyl methacrylate’, self-adhesive products, and floor, wall and ceiling coverings of heading 3918 )
3920 69 plates, sheets, film, foil and strip, of non-cellular polyesters, not reinforced, laminated, supported or similarly combined with other materials, not worked or only surface-worked, or only cut to rectangular, incl. square, shapes (excl. polycarbonates, polythylene terephthalate and other unsaturated polyesters, self-adhesive products, and floor, wall and ceiling coverings in heading 3918 )
3920 73 plates, sheets, film, foil and strip, of non-cellular cellulose acetates, not reinforced, laminated, supported or similarly combined with other materials, without backing, unworked or merely surface-worked or merely cut into squares or rectangles (excl. self-adhesive products, and floor, wall and ceiling coverings of heading 3918 )
3920 91 plates, sheets, film, foil and strip, of non-cellular poly‘vinyl butyral’, not reinforced, laminated, supported or similarly combined with other materials, without backing, unworked or merely surface-worked or merely cut into squares or rectangles (excl. self-adhesive products, floor, wall and ceiling coverings of heading 3918 )
3921 19 plates, sheets, film, foil and strip, of cellular plastic, unworked or merely surface-worked or merely cut into squares or rectangles (excl.those of polymers of styrene, vinyl chloride, polyurethanes and regenerated cellulose, self-adhesive products, floor, wall and ceiling coverings of heading 3918 and sterile surgical or dental adhesion barriers of subheading 3006 10 30 )
3922 90 bidets, lavatory pans, flushing cisterns and similar sanitary ware, of plastics (excl. baths, shower-baths, sinks, washbasins, lavatory seats and covers)
3925 20 doors, windows and their frames and thresholds for doors, of plastics
4002 11 styrene-butadiene rubber latex ‘sbr’; carboxylated styrene-butadiene rubber latex ‘xsbr’
4002 20 butadiene rubber ‘br’, in primary forms or in plates, sheets or strip
4002 31 isobutylene isoprene rubber ‘iir’, in primary forms or in plates, sheets or strip
4002 39 halo-isobutene-isoprene rubber ‘ciir’ or ‘biir’, in primary forms or in plates, sheets or strip
4002 41 chloroprene latex ‘chlorobutadiene rubber, cr’
4002 51 latex of acrylonitrile-butadiene rubber ‘nbr’
4002 80 mixtures of natural rubber, balata, gutta-percha, guayule, chicle or similar types of natural rubber with synthetic rubber or factice, in primary forms or in plates, sheets or strip
4002 91 synthetic rubber and factice derived from oils, in primary forms or in plates, sheets or strip (excl. styrene-butadiene rubber ‘sbr’, carboxylated styrene-butadiene rubber ‘xsbr’, butadiene rubber ‘br’, isobutylene isoprene rubber ‘iir’, halo-isobutene-isoprene rubber ‘ciir’ or ‘biir’, chloroprene rubber ‘cr’, acrylonitrile-butadiene rubber ‘nbr’, isoprene rubber ‘ir’ and non-conjugated ethylene-propylene diene rubber ‘epdm’)
4002 99 synthetic rubber and factice derived from oils, in primary forms or in plates, sheets or strip (excl. latex, styrene-butadiene rubber ‘sbr’, carboxylated styrene-butadiene rubber ‘xsbr’, butadiene rubber ‘br’, isobutylene isoprene rubber ‘iir’, halo-isobutene-isoprene rubber ‘ciir’ or ‘biir’, chloroprene rubber ‘cr’, acrylonitrile-butadiene rubber ‘nbr’, isoprene rubber ‘ir’ and non-conjugated ethylene-propylene diene rubber ‘epdm’)
4005 10 rubber, unvulcanised, compounded with carbon black or silica, in primary forms or in plates, sheets or strip
4005 20 compounded rubber, unvulcanised, in the form of solutions or dispersions (excl. rubber compounded with carbon black or silica, and mixtures of natural rubber, balata, gutta-percha, guayule, chicle and similar natural gums containing synthetic rubber or factice derived from oils)
4005 91 compounded rubber, unvulcanised, in the form of plates, sheets or strip (excl. rubber compounded with carbon black or silica, and mixtures of natural rubber, balata, gutta-percha, guayule, chicle and similar natural gums containing synthetic rubber or factice derived from oils)
4005 99 compounded, unvulcanised rubber in primary forms (excl. solutions and dispersions, those containing carbon black or silica, mixtures of natural rubber, balata, gutta-percha, guayule, chicle or similar types of natural rubber with synthetic rubber or factice, and those in the form of plates, sheets or strip)
4006 10 ‘camel-back’ strips of unvulcanised rubber, for retreading rubber tyres
4008 21 plates, sheets and strip, of non-cellular rubber
4009 12 tubes, pipes and hoses, of vulcanised rubber (excl. hard rubber), not reinforced or otherwise combined with other materials, with fittings
4009 41 tubes, pipes and hoses, of vulcanised rubber (excl. hard rubber), reinforced or otherwise combined with materials other than metal or textile materials, without fittings
4010 31 endless transmission belts of trapezoidal cross-section ‘v-belts’, of vulcanised rubber, v-ribbed, of an outside circumference > 60 cm but <= 180 cm
4010 33 endless transmission belts of trapezoidal cross-section ‘v-belts’, of vulcanised rubber, v-ribbed, of an outside circumference > 180 cm but <= 240 cm
4010 35 endless synchronous belts, of vulcanised rubber, of an outside circumference > 60 cm but <= 150 cm
4010 36 endless synchronous belts, of vulcanised rubber, of an outside circumference > 150 cm but <= 198 cm
4010 39 transmission belts or belting, of vulcanised rubber (excl. endless transmission belts of trapezoidal cross-section ‘v-belts’, v-ribbed, of an outside circumference > 60 cm but <= 240 cm and endless synchronous belts of an outside circumference > 60 cm but <= 198 cm)
4012 11 retreaded pneumatic tyres, of rubber, of a kind used on motor cars ‘incl. station wagons and racing cars’
4012 13 retreaded pneumatic tyres, of rubber, of a kind used on aircraft
4012 19 retreaded pneumatic tyres, of rubber (excl. of a kind used on motor cars, station wagons, racing cars, buses, lorries and aircraft)
4012 20 used pneumatic tyres of rubber
4016 93 gaskets, washers and other seals, of vulcanised rubber (excl. hard rubber and those of cellular rubber)
4407 19 coniferous wood sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness of > 6 mm (excl. pine ‘pinus spp.’, fir ‘abies spp.’ and spruce ‘picea spp.’)
4407 92 beech ‘fagus spp.’, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness of > 6 mm
4407 94 cherry ‘prunus spp.’, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness of > 6 mm
4407 97 poplar and aspen ‘populus spp.’, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness of > 6 mm
4407 99 wood, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness of > 6 mm (excl. tropical wood, coniferous wood, oak ‘quercus spp.’, beech ‘fagus spp.’, maple ‘acer spp.’, cherry ‘prunus spp.’, ash ‘fraxinus spp.’, birch ‘betula spp.’, poplar and aspen ‘populus spp.’)
4408 10 sheets for veneering, incl. those obtained by slicing laminated wood, for coniferous plywood or for other similar laminated coniferous wood and other coniferous wood, sawn lengthwise, sliced or peeled, whether or not planed, sanded, spliced or end-jointed, of a thickness of <= 6 mm
4411 13 medium density fibreboard ‘mdf’ of wood, of a thickness > 5 mm but <= 9 mm
4411 94 fibreboard of wood or other ligneous materials, whether or not agglomerated with resins or other organic bonding agents, of a density of <= 0,5 g/cm3 (excl. medium density fibreboard ‘mdf’)
4412 31 plywood consisting solely of sheets of wood <= 6 mm thick, with at least one outer ply of tropical wood (excl. sheets of compressed wood, cellular wood panels, inlaid wood and sheets identifiable as furniture components)
4412 34 plywood consisting solely of sheets of wood <= 6 mm thick, with at least one outer ply of non-coniferous wood (excl. of bamboo, with an outer ply of tropical wood or of alder, ash, beech, birch, cherry, chestnut, elm, eucalyptus, hickory, horse chestnut, lime, maple, oak, plane tree, poplar, aspen, robinia, tulipwood or walnut, and sheets of compressed wood, cellular wood panels, inlaid wood and sheets identifiable as furniture components)
4412 51, 4412 52, 4412 59laminated wood as blockboard, laminboard or battenboard (excl. of bamboo, plywood consisting solely of sheets of wood <= 6 mm thick, sheets of compressed wood, inlaid wood and sheets identifiable as furniture components)
4416 00 casks, barrels, vats, tubs and other coopers’ products parts thereof, of wood, incl. staves
4418 40 wooden shuttering for concrete constructional work (excl. plywood boarding)
4418 81, 4418 82, 4418 83, 4418 89posts and beams, of wood
4418 79 flooring panels, assembled, of wood other than bamboo (excl. multilayer panels and panels for mosaic floors)
4503 10 corks and stoppers of all types, of natural cork, incl. round-edged blanks
4504 10 tiles of any shape, blocks, plates, sheets and strip, solid cylinders, incl. discs, of agglomerated cork
4701 00 mechanical wood pulp, not chemically treated
4703 19 unbleached non-coniferous chemical wood pulp, soda or sulphate (excl. dissolving grades)
4703 21 semi-bleached or bleached coniferous chemical wood pulp, soda or sulphate (excl. dissolving grades)
4703 29 semi-bleached or bleached non-coniferous chemical wood pulp, soda or sulphate (excl. dissolving grades)
4704 11 unbleached coniferous chemical wood pulp, sulphite (excl. dissolving grades)
4704 21 semi-bleached or bleached coniferous chemical wood pulp, sulphite (excl. dissolving grades)
4704 29 semi-bleached or bleached non-coniferous chemical wood pulp, sulphite (excl. dissolving grades)
4705 00 wood pulp obtained by a combination of mechanical and chemical pulping processes
4706 30 pulps of fibrous cellulosic bamboo material
4706 92 chemical pulp of fibrous cellulosic material (excl. that of bamboo, wood, cotton linters and fibres derived from recovered [waste and scrap] paper or paperboard)
4707 10 recovered ‘waste and scrap’ paper or paperboard of unbleached kraft paper, corrugated paper or corrugated paperboard
4707 30 recovered ‘waste and scrap’ paper or paperboard made mainly of mechanical pulp, e.g. newspapers, journals and similar printed matter
4802 20 paper and paperboard of a kind used as a base for photosensitive, heat-sensitive or electrosensitive paper and paperboard, uncoated, in rolls or in square or rectangular sheets, of any size
4802 40 wallpaper base, uncoated
4802 58 uncoated paper and paperboard, of a kind used for writing, printing or other graphic purposes, and non-perforated punchcards and punch-tape paper, in rolls or in square or rectangular sheets, of any size, not containing fibres obtained by a mechanical or chemi-mechanical process or of which <= 10 % by weight of the total fibre content consists of such fibres, weighing > 150 g/m2, n.e.s.
4802 61 uncoated paper and paperboard, of a kind used for writing, printing or other graphic purposes, and non-perforated punchcards and punch-tape paper, in rolls of any size, of which > 10 % by weight of the total fibre content consists of fibres obtained by a mechanical or chemi-mechanical process, n.e.s.
4804 11 unbleached kraftliner, uncoated, in rolls of a width > 36 cm
4804 19 kraftliner, uncoated, in rolls of a width > 36 cm (excl. unbleached and goods of heading 4802 and 4803 )
4804 21 Unbleached sack kraft paper, uncoated, in rolls or sheets, other than that of heading 4802 or 4803
4804 29 sack kraft paper, uncoated, in rolls or sheets (excl. unbleached, and goods of heading 4802 or 4803)
4804 31 unbleached kraft paper and paperboard, uncoated, weighing <= 150 g/m2 (excl. kraftliner, sack kraft paper and goods of heading 4802 or 4803)
4804 39 kraft paper and paperboard, uncoated, weighing <= 150 g/m2 (excl. unbleached, kraftliner, sack kraft paper and goods of heading 4802 or 4803)
4804 41 unbleached kraft paper and paperboard, uncoated, weighing > 150 g/m2 to < 225 g/m2 (excl. kraftliner, sack kraft paper, and goods of heading 4802 or 4803)
4804 42 kraft paper and paperboard, uncoated, weighing > 150 g/m2 to < 225 g/m2, bleached uniformly in the mass and containing > 95 % chemically processed wood fibre by weight in relation to the total fibre content consists of wood fibres obtained by a chemical process (excl. unbleached, kraftliner, sack kraft paper, and goods of heading 4802 or 4803)
4804 49 kraft paper and paperboard, uncoated, weighing > 150 g/m2 to < 225 g/m2 (excl. unbleached, bleached uniformly in the mass and containing > 95 % chemically processed wood fibre by weight in relation to the total fibre content consists of wood fibres obtained by a chemical process, kraftliner, sack kraft paper, and goods of heading 4802 or 4803)
4804 52 kraft paper and paperboard, uncoated, in rolls or rectangular sheets, weighing >= 225 g/m2, bleached uniformly in the mass, containing > 95 % chemically processed wood fibre by weight in relation to the total fibre content (excl. unbleached, kraftliner, sack kraft paper and goods of heading 4802 or 4803)
4804 59 kraft paper and paperboard, uncoated, in rolls or rectangular sheets, weighing >= 225 g/m2 (excl. unbleached, bleached uniformly in the mass, containing > 95 % chemically processed wood fibre by weight in relation to the total fibre content, kraftliner, sack kraft paper and goods of heading 4802 or 4803)
4805 24 testliner ‘recycled liner board’, uncoated, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state, weighing <= 150 g/m2
4805 25 testliner ‘recycled liner board’, uncoated, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state, weighing > 150 g/m2
4805 40 filter paper and paperboard, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state
4805 91 paper and paperboard, uncoated, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state, weighing <= 150 g/m2, n.e.s.
4805 92 paper and paperboard, uncoated, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state, weighing > 150 g/m2 to < 225 g/m2, n.e.s.
4806 10 vegetable parchment, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state
4806 20 greaseproof papers, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state
4806 30 tracing papers, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state
4806 40 glassine and other glazed transparent or translucent papers, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state (excl. vegetable parchment, greaseproof papers and tracing papers)
4807 00 composite paper and paperboard ‘made by sticking flat layers of paper or paperboard together with an adhesive’, not surface-coated or impregnated, whether or not internally reinforced, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state
4808 90 paper and paperboard, creped, crinkled, embossed or perforated, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state (excl. sack kraft and other kraft paper, and goods of heading 4803 )
4809 20 self-copy paper, whether or not printed, in rolls of a width > 36 cm or in square or rectangular sheets with one side > 36 cm and the other side > 15 cm in the unfolded state (excl. carbon and similar copying papers)
4810 13 paper and paperboard used for writing, printing or other graphic purposes, not containing fibres obtained by a mechanical or chemi-mechanical process or of which <= 10 % by weight of the total fibre content consists of such fibres, coated on one or both sides with kaolin or other inorganic substances, in rolls of any size
4810 19 paper and paperboard used for writing, printing or other graphic purposes, not containing fibres obtained by a mechanical or chemi-mechanical process or of which <= 10 % by weight of the total fibre content consists of such fibres, coated on one or both sides with kaolin or other inorganic substances, in square or rectangular sheets with one side > 435 mm or with one side <= 435 mm and the other side > 297 mm in the unfolded state
4810 22 lightweight coated paper used for writing, printing or other graphic purposes, total weight <= 72 g/m2, coating weight <= 15 g/m2 per side, on a base of which >= 50 % by weight of the total fibre content consists of fibres obtained by a mechanical process, coated on both sides with kaolin or other inorganic substances, in rolls or in square or rectangular sheets, of any size
4810 31 kraft paper and paperboard, bleached uniformly throughout the mass and containing > 95 % chemically processed wood fibres by weight in relation to the total fibre content, coated on one or both sides with kaolin or other inorganic substances, in rolls or in square or rectangular sheets, of any size, weighing <= 150 g/m2 (excl. that for writing, printing or other graphic purposes)
4810 39 kraft paper and paperboard, coated on one or both sides with kaolin or other inorganic substances, in rolls or in square or rectangular sheets, of any size (excl. that for writing, printing or other graphic purposes; paper and paperboard bleached uniformly in the mass and containing > 95 % chemically processed wood fibres by weight in relation to the total fibre content)
4810 92 multi-ply paper and paperboard, coated on one or both sides with kaolin or other inorganic substances, in rolls or in square or rectangular sheets, of any size (excl. that for writing, printing or other graphic purposes, kraft paper and paperboard)
4810 99 paper and paperboard, coated on one or both sides with kaolin ‘china clay’ or other inorganic substances, with or without a binder, and with no other coating, whether or not surface-coloured, surface-decorated or printed, in rolls or in square or rectangular sheets, of any size (excl. that for writing, printing or other graphic purposes, kraft paper and paperboard, multi-ply paper and paperboard, and with no other coating)
4811 10 tarred, bituminised or asphalted paper and paperboard, in rolls or in square or rectangular sheets, of any size
4811 51 paper and paperboard, surface-coloured, surface-decorated or printed, coated, impregnated or covered with artificial resins or plastics, in rolls or in square or rectangular sheets, of any size, bleached and weighing > 150 g/m2 (excl. adhesives)
4811 59 paper and paperboard, surface-coloured, surface-decorated or printed, coated, impregnated or covered with artificial resins or plastics, in rolls or in square or rectangular sheets, of any size (excl. bleached and weighing > 150 g/m2, and adhesives)
4811 60 paper and paperboard, coated, impregnated or covered with wax, paraffin wax, stearin, oil or glycerol, in rolls or in square or rectangular sheets, of any size (excl. goods of heading 4803 , 4809 and 4818 )
4811 90 paper, paperboard, cellulose wadding and webs of soft cellulose, coated, impregnated, covered, surface-coloured, surface-decorated or printed, in rolls or in square or rectangular sheets, of any size (excl. goods of heading 4803 , 4809 , 4810 and 4818 , and of subheading 4811 10 to 4811 60 )
4814 90 wallpaper and similar wallcoverings of paper, and window transparencies of paper (excl. wallcoverings of paper, consisting of paper coated or covered, on the face side, with a grained, embossed, coloured or design-printed or otherwise decorated layer of plastics)
4819 20 folding cartons, boxes and cases, of non-corrugated paper or paperboard
4822 10 bobbins, spools, cops and similar supports of paper pulp, paper or paperboard, whether or not perforated or hardened, for winding textile yarn
4823 20 filter paper and paperboard, in strips or rolls of a width <= 36 cm, in rectangular or square sheets, of which no side > 36 cm in the unfolded state, or cut to shape other than rectangular or square
4823 40 rolls, sheets and dials, printed for self-recording apparatus, in rolls of a width <= 36 cm, in rectangular or square sheets of which no side > 36 cm in the unfolded state, or cut into dials
4823 70 moulded or pressed articles of paper pulp, n.e.s.
5105 39 fine animal hair, carded or combed (excl. wool and hair of kashmir ‘cashmere’ goats)
5105 40 coarse animal hair, carded or combed
5106 10 carded wool yarn containing >= 85 % wool by weight (excl. that put up for retail sale)
5106 20 carded wool yarn containing predominantly, but < 85 % wool by weight (excl. that put up for retail sale)
5107 20 yarn of combed wool containing predominantly, but < 85 % wool by weight (excl. that put up for retail sale)
5112 11 woven fabrics containing >= 85 % combed wool or combed fine animal hair by weight and weighing <= 200 g/m2 (excl. fabrics for technical uses of heading 5911 )
5112 19 woven fabrics containing >= 85 % combed wool or combed fine animal hair by weight and weighing > 200 g/m2
5205 21 single cotton yarn, of combed fibres, containing >= 85 % cotton by weight and with a linear density of >= 714,29 decitex ‘<= mn 14’ (excl. sewing thread and yarn put up for retail sale)
5205 28 single cotton yarn, of combed fibres, containing >= 85 % cotton by weight and with a linear density of < 83,33 decitex ‘> mn 120’ (excl. sewing thread and yarn put up for retail sale)
5205 41 multiple ‘folded’ or cabled cotton yarn, of combed fibres, containing >= 85 % cotton by weight and with a linear density of >= 714,29 decitex ‘<= mn 14’ per single yarn (excl. sewing thread and yarn put up for retail sale)
5206 42 multiple ‘folded’ or cabled cotton yarn containing predominantly, but < 85 % cotton by weight, of combed fibres and with a linear density of 232,56 decitex to < 714,29 decitex ‘> mn 14 to mn 43’ per single yarn (excl. sewing thread and yarn put up for retail sale)
5209 11 plain woven fabrics of cotton, containing >= 85 % cotton by weight and weighing > 200 g/m2, unbleached
5211 19 woven fabrics of cotton, containing predominantly, but < 85 % cotton by weight, mixed principally or solely with man-made fibres and weighing > 200 g/m2, unbleached (excl. those in three-thread or four-thread twill, incl. cross twill, and plain woven fabrics)
5211 51 plain woven fabrics of cotton, containing predominantly, but < 85 % cotton by weight, mixed principally or solely with man-made fibres and weighing > 200 g/m2, printed
5211 59 woven fabrics of cotton, containing predominantly, but < 85 % cotton by weight, mixed principally or solely with man-made fibres and weighing > 200 g/m2, printed (excl. those in three-thread or four-thread twill, incl. cross twill, and plain woven fabrics)
5308 20 hemp yarn
5402 63 multiple ‘folded’ or cabled filament yarn of polypropylene, incl. monofilament of < 67 decitex (excl. sewing thread, yarn put up for retail sale and textured yarn)
5403 33 filament yarn of cellulose acetate, incl. monofilament of < 67 decitex, single (excl. sewing thread, high-tenacity yarn and yarn put up for retail sale)
5403 42 multiple ‘folded’ or cabled filament yarn of cellulose acetate, incl. monofilament of < 67 decitex (excl. sewing thread, high-tenacity yarn and yarn put up for retail sale)
5404 12 polypropylene monofilament of >= 67 decitex and with a cross sectional dimension of <= 1 mm (excl. elastomers)
5404 19 synthetic monofilament of >= 67 decitex and with a cross sectional dimension of <= 1 mm (excl. of elastomers and polypropylene)
5404 90 strip and the like, e.g. artificial straw, of synthetic textile material, with an apparent width of <= 5 mm
5407 30 woven fabrics of synthetic filament yarn, incl. monofilament of >= 67 decitex and with a cross sectional dimension of <= 1 mm, consisting of layers of parallel textile yarns superimposed on each other at acute or right angles, the layers being bonded at the intersections of the yarns by an adhesive or by thermal bonding
5501 90 synthetic filament tow as specified in note 1 to chapter 55 (excl. that of acrylic, modacrylic, polyesters, polypropylene, nylon or other polyamide filament)
5502 10 artificial filament tow as specified in note 1 to chapter 55, of acetate
5503 19 staple fibres of nylon or other polyamides, not carded, combed or otherwise processed for spinning (excl. those of aramids)
5503 40 staple fibres of polypropylene, not carded, combed or otherwise processed for spinning
5504 90 artificial staple fibres, not carded, combed or otherwise processed for spinning (excl. those of viscose rayon)
5506 40 staple fibres of polypropylene, carded, combed or otherwise processed for spinning
5507 00 artificial staple fibres, carded, combed or otherwise processed for spinning
5512 21 woven fabrics containing >= 85 % acrylic or modacrylic staple fibres by weight, unbleached or bleached
5512 99 woven fabrics containing >= 85 % synthetic staple fibres by weight, dyed, made of yarn of different colours or printed (excl. those of acrylic, modacrylic or polyester staple fibres)
5516 44 woven fabrics containing predominantly, but < 85 % artificial staple fibres by weight, mixed principally or solely with cotton, printed
5516 94 woven fabrics containing predominantly, but < 85 % artificial staple fibres by weight, other than those mixed principally or solely with cotton, wool, fine animal hair or man-made filament, printed
5601 29 wadding of textile materials and articles thereof (excl. of cotton or man-made fibres; sanitary towels and tampons, napkins and napkin liners for babies and similar sanitary articles, wadding and articles thereof, impregnated or covered with medicated substances or put up for retail for medical, surgical, dental or veterinary purposes, or impregnated, coated or covered with perfumes, make-up, soaps, cleansing agents, etc.)
5601 30 textile flock and dust and mill neps
5604 90 textile yarn, strip and the like of heading 5404 and 5405 , impregnated, coated, covered or sheathed with rubber or plastics (excl. imitation catgut, thread and cord with fish-hook attachments or otherwise put up as fishing line)
5605 00 metallised yarn, whether or not gimped, being textile yarn, or strip or the like of heading 5404 or 5405 , of textile fibres, combined with metal in the form of thread, strip or powder or covered with metal (excl. yarns manufactured from a mixture of textile fibres and metal fibres, with anti-static properties; yarns reinforced with metal wire; articles with the character of trimmings)
5607 41 binder or baler twine, of polyethylene or polypropylene
5801 27 warp pile fabrics, of cotton (excl. terry towelling and similar woven terry fabrics, tufted textile fabrics and narrow woven fabrics of heading 5806 )
5803 00 gauze (excl. narrow woven fabrics of heading 5806 )
5806 40 narrow fabrics consisting of warp without weft assembled by means of an adhesive ‘bolducs’, with a width of <= 30 cm
5901 10 textile fabrics coated with gum or amylaceous substances, of a kind used for the outer covers of books, the manufacture of boxes and articles of cardboard or the like
5905 00 textile wallcoverings
5908 00 textile wicks, woven, plaited or knitted, for lamps, stoves, lighters, candles or the like; incandescent gas mantles and tubular knitted gas-mantle fabric for incandescent gas mantles, whether or not impregnated (excl. wax-covered wicks of the taper variety, fuses and detonating fuses, wicks in the form of textile yarn and glass-fibre wicks)
5910 00 transmission or conveyor belts or belting, of textile material, whether or not impregnated, coated, covered or laminated with plastics, or reinforced with metal or other material (excl. those of a thickness of < 3 mm and of indeterminate length or cut to length only, and those impregnated, coated, covered or laminated with rubber or made of yarn or cord impregnated or coated with rubber)
5911 10 textile fabrics, felt and felt-lined woven fabrics, coated, covered or laminated with rubber, leather or other material, of a kind used for card clothing, and similar fabrics of a kind used for other technical purposes, incl. narrow fabrics made of velvet impregnated with rubber, for covering weaving spindles ‘weaving beams’
5911 31 textile fabrics and felts, endless or fitted with linking devices, of a kind used in papermaking or similar machines, e.g. for paper pulp or asbestos-cement, weighing < 650 g/m2
5911 32 textile fabrics and felts, endless or fitted with linking devices, of a kind used in papermaking or similar machines, e.g. for paper pulp or asbestos-cement, weighing >= 650 g/m2
5911 40 straining cloth of a kind used in oil-presses or for similar technical purposes, incl. that of human hair
6001 99 pile fabrics, knitted or crocheted (excl. cotton or man-made fibres and ‘long pile’ fabrics)
6003 40 knitted or crocheted fabrics of artificial fibres, of a width of <= 30 cm (excl. those containing by weight >= 5 % of elastomeric yarn or rubber thread, and pile fabrics, incl. ‘long pile’, looped pile fabrics, labels, badges and similar articles, knitted or crocheted fabrics, impregnated, coated, covered or laminated, and sterile surgical or dental adhesion barriers of subheading 3006 10 30 )
6005 36 unbleached or bleached warp knit fabrics of synthetic fibres ‘incl. those made on galloon knitting machines’, of a width of > 30 cm (excl. those containing by weight >= 5 % of elastomeric yarn or rubber thread, and pile fabrics, incl. ‘long pile’, looped pile fabrics, labels, badges and similar articles, and knitted or crocheted fabrics, impregnated, coated, covered or laminated)
6005 44 printed warp knit fabrics of artificial fibres ‘incl. those made on galloon knitting machines’, of a width of > 30 cm (excl. those containing by weight >= 5 % of elastomeric yarn or rubber thread, and pile fabrics, incl. ‘long pile’, looped pile fabrics, labels, badges and similar articles, and knitted or crocheted fabrics, impregnated, coated, covered or laminated)
6006 10 fabrics, knitted or crocheted, of a width of > 30 cm, of wool or fine animal hair (excl. warp knit fabrics ‘incl. those made on galloon knitting machines’, those containing by weight >= 5 % of elastomeric yarn or rubber thread, and pile fabrics, incl. ‘long pile’, looped pile fabrics, labels, badges and similar articles, and knitted or crocheted fabrics, impregnated, coated, covered or laminated)
6309 00 worn clothing and clothing accessories, blankets and travelling rugs, household linen and articles for interior furnishing, of all types of textile materials, incl. all types of footwear and headgear, showing signs of appreciable wear and presented in bulk or in bales, sacks or similar packings (excl. carpets, other floor coverings and tapestries)
6802 92 calcareous stone, in any form (excl. marble, travertine and alabaster, tiles, cubes and similar articles of subheading 6802 10 , imitation jewellery, clocks, lamps and lighting fittings and parts thereof, original sculptures and statuary, setts, curbstones and flagstones)
6804 23 millstones, grindstones, grinding wheels and the like, without frameworks, for sharpening, polishing, trueing or cutting, of natural stone (excl. of agglomerated natural abrasives or ceramics, perfumed pumice stones, hand sharpening or polishing stones, and grinding wheels etc. specifically for dental drill engines)
6806 10 slag-wool, rock-wool and similar mineral wools, incl. intermixtures thereof, in bulk, sheets or rolls
6806 90 mixtures and articles of heat-insulating, sound-insulating or sound absorbing mineral materials (excl. slag-wool, rock-wool and similar mineral wools, exfoliated vermiculite, expanded clays, foamed slag and similar expanded mineral materials, articles of light concrete, asbestos-cement, cellulose fibre-cement or the like, mixtures and other articles of or based on asbestos, and ceramic products)
6807 10 articles of asphalt or of similar materials, e.g. petroleum bitumen or coal tar pitch, in rolls
6807 90 articles of asphalt or of similar materials, e.g. petroleum bitumen or coal tar pitch (excl. in rolls)
6809 19 boards, sheets, panels, tiles and similar articles, of plaster or compositions based on plaster (excl. ornamented, faced or reinforced with paper or paperboard only, and with plaster agglomerated articles for heat-insulation, sound-insulation or sound absorption)
6810 91 prefabricated structural components for building or civil engineering of cement, concrete or artificial stone, whether or not reinforced
6811 81 corrugated sheets of cellulose fibre-cement or the like, not containing asbestos
6811 82 sheets, panels, paving, tiles and similar articles, of cellulose fibre-cement or the like, not containing asbestos (excl. corrugated sheets)
6811 89 articles of cellulose fibre-cement or the like, not containing asbestos (excl. corrugated and other sheets, panels, tiles and similar articles)
6813 89 friction material and articles thereof, e.g. sheets, rolls, strips, segments, discs, washers and pads, for clutches and the like, with a basis of mineral substances or cellulose, whether or not combined with textile or other materials (excl. containing asbestos, and brake linings and pads)
6814 90 worked mica and articles of mica (excl. electrical insulators, insulating fittings, resistors and capacitors, protective goggles of mica and their glasses, mica in the form of christmas tree decorations, and plates, sheets and strips of agglomerated or reconstituted mica, whether or not on supports)
6901 00 bricks, blocks, tiles and other ceramic goods of siliceous fossil meals, e.g. kieselguhr, tripolite or diatomite, or of similar siliceous earths
6904 10 building bricks (excl. those of siliceous fossil meals or similar siliceous earths, and refractory bricks of heading 6902 )
6905 10 roofing tiles
6905 90 ceramic chimney pots, cowls, chimney liners, architectural ornaments and other ceramic constructional goods (excl. of siliceous fossil meals or similar siliceous earths, refractory ceramic constructional components, pipes and other components for drainage and similar purposes, and roofing tiles)
6906 00 ceramic pipes, conduits, guttering and pipe fittings (excl. of siliceous fossil meals or similar siliceous earths, refractory ceramic goods, chimney liners, pipes specifically manufactured for laboratories, insulating tubing and fittings and other piping for electrotechnical purposes)
6907 22 ceramic flags and paving, hearth or wall tiles, of a water absorption coefficient by weight > 0,5 % but <= 10 % (excl. refractory, mosaic cubes and finishing ceramics)
6907 40 finishing ceramics (excl. refractory)
6909 90 ceramic troughs, tubs and similar receptacles of a kind used in agriculture; ceramic pots, jars and similar articles of a kind used for the conveyance or packing of goods (excl. general-purpose storage vessels for laboratories, containers for shops and household articles)
7002 20 rods of glass, unworked
7002 31 tubes of fused quartz or other fused silica, unworked
7002 32 tubes of glass having a linear coefficient of expansion <= 5 x 10-6 per kelvin within a temperature range of 0°c to 300°c, unworked (excl. tubes of glass having a linear coefficient of expansion <= 5 x 10-6 per kelvin within a temperature range of 0°c to 300°c)
7002 39 tubes of glass, unworked (excl. tubes of glass having a linear coefficient of expansion <= 5 x 10-6 per kelvin within a temperature range of 0°c to 300°c or of fused quartz or other fused silica)
7003 30 profiles of glass, whether or not having an absorbent, reflecting or non-reflecting layer, but not otherwise worked
7004 20 sheets of glass, drawn or blown, coloured throughout the mass ‘body tinted’ opacified, flashed or having an absorbent, reflecting or non-reflecting layer, but not otherwise worked
7005 10 float glass and surface ground or polished glass, in sheets, having an absorbent, reflecting or non-reflecting layer, but not otherwise worked (excl. wired glass)
7005 30 float glass and surface ground and polished glass, in sheets, whether or not having an absorbent, reflecting or non-reflecting layer, wired, but not otherwise worked
7007 11 toughened ‘tempered’ safety glass, of size and shape suitable for incorporation in motor vehicles, aircraft, spacecraft, vessels and other vehicles
7007 29 laminated safety glass (excl. glass of size and shape suitable for incorporation in motor vehicles, aircraft, spacecraft, vessels or other vehicles, multiple-walled insulating units)
7011 10 glass envelopes, incl. bulbs and tubes, open, and glass parts thereof, without fittings, for electric lighting
7202 92 ferro-vanadium
7207 12 semi-finished products of iron or non-alloy steel containing, by weight, < 0,25 % of carbon, of rectangular ‘other than square’ cross-section, the width measuring >= twice the thickness
7208 25 flat-rolled products of iron or non-alloy steel, of a width of >= 600 mm, in coils, simply hot-rolled, not clad, plated or coated, of a thickness of >= 4,75 mm, pickled, without patterns in relief
7208 90 flat-rolled products of iron or steel, of a width >= 600 mm, hot-rolled and further worked, but not clad, plated or coated
7209 25 flat-rolled products of iron or non-alloy steel, of a width of >= 600 mm, not in coils, simply cold-rolled ‘cold-reduced’, not clad, plated or coated, of a thickness of >= 3 mm
7209 28 flat-rolled products of iron or non-alloy steel, of a width of >= 600 mm, not in coils, simply cold-rolled ‘cold-reduced’, not clad, plated or coated, of a thickness of < 0,5 mm
721 090 flat-rolled products of iron or non-alloy steel, of a width of >= 600 mm, hot-rolled or cold-rolled ‘cold-reduced’, clad, plated or coated (excl. tinned, plated or coated with lead, zinc, chromium oxides, chromium and chromium oxides, or aluminium, painted, varnished or coated with plastics)
721 113 flat-rolled products of iron or non-alloy steel, simply hot-rolled on four faces or in a closed box pass, not clad, plated or coated, of a width of > 150 mm but < 600 mm and a thickness of >= 4 mm, not in coils, without patterns in relief, commonly known as ‘wide flats’
721 114 flat-rolled products of iron or non-alloy steel, of a width < 600 mm, not further worked than hot-rolled, not clad, plated or coated, of a thickness of >= 4,75 mm (excl. ‘wide flats’)
721 129 flat-rolled products of iron or non-alloy steel, of a width of < 600 mm, simply cold-rolled ‘cold-reduced’, not clad, plated or coated, containing by weight >= 0,25 % of carbon
721 210 flat-rolled products of iron or non-alloy steel, of a width of < 600 mm, hot-rolled or cold-rolled ‘cold-reduced’, tinned
721 260 flat-rolled products of iron or non-alloy steel, of a width of < 600 mm, hot-rolled or cold-rolled ‘cold-reduced’, clad
721 320 bars and rods, hot-rolled, in irregularly wound coils, of non-alloy free-cutting steel (excl. bars and rods containing indentations, ribs, grooves or other deformations produced during the rolling process)
721 399 bars and rods, hot-rolled, in irregularly wound coils, of iron or non-alloy steel (excl. products of circular cross-section measuring < 14 mm in diameter, bars and rods of free-cutting steel, and bars and rods with indentations, ribs, grooves or other deformations produced during the rolling process)
721 550 bars and rods, of iron or non-alloy steel, not further worked than cold-formed or cold-finished (excl. of free-cutting steel)
721 610 u, i or h sections of iron or non-alloy steel, not further worked than hot-rolled, hot-drawn or extruded, of a height of < 80 mm
721 622 t sections of iron or non-alloy steel, not further worked than hot-rolled, hot-drawn or extruded, of a height of < 80 mm
721 633 h sections of iron or non-alloy steel, not further worked than hot-rolled, hot-drawn or hot-extruded, of a height >= 80 mm
721 669 angles, shapes and sections, of iron or non-alloy steel, not further worked than cold-formed or cold-finished (excl. profiled sheet)
721 891 semi-finished products of stainless steel, of rectangular ‘other than square’ cross-section
722 230 other bars and rods of stainless steel, cold-formed or cold-finished and further worked, or not further worked than forged, or forged, or hot-formed by other means and further worked
722 410 steel, alloy, other than stainless, in ingots or other primary forms (excl. waste and scrap in ingot form, and products obtained by continuous casting)
722 519 flat-rolled products of silicon-electrical steel, of a width of >= 600 mm, non-grain-oriented
722 530 flat-rolled products of alloy steel other than stainless, of a width of >= 600 mm, not further worked than hot-rolled, in coils (excl. products of silicon-electrical steel)
722 599 flat-rolled products of alloy steel other than stainless, of a width of >= 600 mm, hot-rolled or cold-rolled ‘cold-reduced’ and further worked (excl. plated or coated with zinc and products of silicon-electrical steel)
722 691 flat-rolled products of alloy steel other than stainless, of a width of < 600 mm, not further worked than hot-rolled (excl. products of high-speed steel or silicon-electrical steel)
722 830 bars and rods of alloy steel other than stainless, not further worked than hot-rolled, hot-drawn or extruded (excl. products of high-speed steel or silico-manganese steel, semi-finished products, flat-rolled products and hot-rolled bars and rods in irregularly wound coils)
722 860 bars and rods of alloy steel other than stainless, cold-formed or cold-finished and further worked or hot-formed and further worked, n.e.s. (excl. products of high-speed steel or silico-manganese steel, semi-finished products, flat-rolled products and hot-rolled bars and rods in irregularly wound coils)
722 870 angles, shapes and sections of alloy steel other than stainless, n.e.s.
722 880 hollow drill bars and rods, of alloy or non-alloy steel
722 990 wire of alloy steel other than stainless, in coils (excl. bars and rods and wire of silico-manganese steel)
7301 20 angles, shapes and sections, of iron or steel, welded
7304 24 casing and tubing, seamless, of a kind used for drilling for oil or gas, of stainless steel
7306 50 Tubes, pipes and hollow profiles, welded, of circular cross-section, of alloy steel other than stainless (excl. tubes and pipes having internal and external circular cross-sections and an external diameter of > 406,4 mm, and line pipe of a kind used for oil or gas pipelines or casing and tubing of a kind used in drilling for oil or gas)
7307 22 Threaded elbows, bends and sleeves
7309 00 Reservoirs, tanks, vats and similar containers for any material (other than compressed or liquefied gas), of iron or steel, of a capacity exceeding 300 l, whether or not lined or heat-insulated, but not fitted with mechanical or thermal equipment
7314 12 Endless bands of stainless steel wire, for machinery
7318 24 Cotters and cotter pins, of iron or steel
7320 20 Helical springs, of iron or steel (excl. flat spiral springs, clock and watch springs, springs for sticks and handles of umbrellas or parasols, and shock absorbers of section 17)
7322 90 Air heaters and hot-air distributors, incl. distributors which can also distribute fresh or conditioned air, non-electrically heated, incorporating a motor-driven fan or blower, and parts thereof, of iron or steel
7324 29 baths of steel sheet
7407 10 bars, rods and profiles, of refined copper
7408 11 wire of refined copper, with a maximum cross-sectional dimension of > 6 mm
7408 19 wire of refined copper, with a maximum cross-sectional dimension of <= 6 mm
7409 11 plates, sheets and strip, of refined copper, in coils, of a thickness of > 0,15 mm (excl. expanded sheet and strip and electrically insulated strip)
7409 19 plates, sheets and strip, of refined copper, not in coils, of a thickness of > 0,15 mm (excl. expanded sheet and strip and electrically insulated strip)
7409 40 plates, sheets and strip, of copper-nickel base alloys ‘cupro-nickel’ or copper-nickel-zinc base alloys ‘nickel silver’, of a thickness of > 0,15 mm (excl. expanded sheet and strip and electrically insulated strip)
7415 21 washers, ‘incl. spring washers and spring lock washers’, of copper
7505 11 bars, rods, profiles and wire, of non-alloy nickel, n.e.s. (excl. electrically insulated products)
7505 21 wire of non-alloy nickel (excl. electrically insulated products)
7506 10 plates, sheets, strip and foil, of non-alloy nickel (excl. expanded plates, sheets or strip)
7507 11 tubes and pipes of non-alloy nickel
7605 19 Wire of non-alloy aluminium, with a maximum cross-sectional dimension of <= 7 mm (other than stranded wires, cables, ropes and other articles of heading 7614 , electrically insulated wires, strings for musical instruments)
7605 29 Wire, of aluminium alloys, having a maximum cross-sectional dimension of <= 7 mm (other than stranded wires, cables, ropes and other articles of heading 7614 , electrically insulated wires, strings for musical instruments)
7606 92 Plates, sheets and strip, of aluminium alloys, of a thickness of > 0,2 mm (other than square or rectangular)
7607 20 Aluminium foil, backed, of a thickness (excl. any backing) of <= 0,2 mm (excl. stamping foils of heading 3212 , and foil made up as christmas tree decorating material)
7611 00 Reservoirs, tanks, vats and similar containers, of aluminium, for any material (other than compressed or liquefied gas), of a capacity of > 300 l, not fitted with mechanical or thermal equipment, whether or not lined or heat-insulated (excl. containers specifically constructed or equipped for one or more types of transport)
7612 90 casks, drums, cans, boxes and similar containers, incl. rigid tubular containers, of aluminium, for any material (other than compressed or liquefied gas), of a capacity of <= 300 l, n.e.s.
7616 10 Nails, tacks, staples (other than those of heading 8305 ), screws, bolts, nuts, screw hooks, rivets, cotters, cotter pins, washers and similar articles............
7804 11 Lead plates, sheets, strip and foil; lead powders and flakes - Plates, sheets, strip and foil - Sheets, strip and foil of a thickness (excluding any backing) not exceeding 0,2 mm
7804 19 Lead plates, sheets, strip and foil; lead powders and flakes - Plates, sheets, strip and foil - Other
7905 00 zinc plates, sheets, strip and foil
8001 20 unwrought tin alloys
8003 00 Tin bars, rods, profiles and wire
8007 00 Articles of tin
8101 10 tungsten powders
8102 97 Molybdenum waste and scrap (excl. ash and residues containing molybdenum)
8105 90 Articles of cobalt
8109 31 Zirconium waste and scrap - Containing less than 1“part hafnium to|500”parts zirconium by weight
8109 39 Zirconium waste and scrap - Other
8109 91 Articles of zirconium - Containing less than 1“part hafnium to|500”part zirconium by weight
8109 99 Articles of zirconium - Other
8202 20 Bandsaw blades of base metal
8207 60 Tools for boring or broaching
8208 10 Knives and cutting blades, for machines or for mechanical appliances - for metalworking
8208 20 Knives and cutting blades, for machines or for mechanical appliances - for wood-working
8208 30 Knives and cutting blades, for machines or for mechanical appliances - used by the food industry
8208 40 Knives and cutting blades, for machines or for mechanical appliances - for agricultural, horticultural or forestry machines
8208 90 Knives and cutting blades, for machines or for mechanical appliances - other
8301 20 locks used for motor vehicles, of base metal
8301 70 Keys presented separately
8302 30 Other mountings, fittings and similar articles suitable for motor vehicles
8309 90 Stoppers, caps and lids, incl. screw caps and pouring stoppers, capsules for bottles, threaded bungs, bung covers, seals and other packing accessories of base metal (excl. crow corks)
8402 12 Watertube boilers with a steam production not exceeding 45 tonnes per hour
8402 19 Other vapour generating boilers, including hybrid boilers
8402 20 Superheated water boilers
8404 10 Auxiliary plant for use with boilers of heading 8402 or 8403 , e.g. economizers, superheaters, soot removers and gas recoverers;
8404 20 Condensers for steam or other vapour power units
8404 90 Producer gas or water gas generators, with or without their purifiers; acetylene gas generators and similar water process gas generators, with or without their purifiers - Parts
8405 90 parts of producer gas or water gas generators and acetylene gas generators or similar water process gas generators, n.e.s.
8406 90 Steam turbines and other vapour turbines - Parts
8412 10 Reaction engines other than turbojets
8412 21 Engines and motors - linear acting (cylinders)
8412 29 Hydraulic power engines and motors - Other
8412 39 Pneumatic power engines and motors - Other
8415 83 Other air-conditioning machines, comprising a motor-driven fan and elements for changing the temperature and humidity, including those machines in which the humidity cannot be separately regulated - not incorporating a refrigerating unit
8416 10 furnace burners for liquid fuel
8416 20 Furnace burners for pulverised solid fuel or gas, incl. combination burners
8416 30 Mechanical stokers, incl. their mechanical grates, mechanical ash dischargers and similar appliances (excl. burners)
8416 90 Parts of furnace burners such as mechanical stokers, incl. their mechanical grates, mechanical ash dischargers and similar appliances
8417 20 Bakery ovens, incl. biscuit ovens, non-electric
8419 19 instantaneous or storage water heaters, non-electric (excl. instantaneous gas water heaters and boilers or water heaters for central heating)
8420 99 Parts of calendering or other rolling machines, other than for metals or glass, and cylinders therefor - Other
8421 19 Centrifuges, including centrifugal dryers - other
8421 91 Parts of centrifuges, incl. centrifugal dryers
8424 89 Other appliances - Other
8424 90 Mechanical appliances (whether or not hand-operated) for projecting, dispersing or spraying liquids or powders; fire extinguishers, whether or not charged; spray guns and similar appliances; steam or sandblasting machines and similar jet projecting machines - Parts
8425 11 Pulley tackle and hoists other than skip hoists or hoists of a kind used for raising vehicles powered by electric motor
8426 12 Mobile lifting frames on tyres and straddle carriers
8426 99 Ships’ derricks; cranes, including cable cranes; mobile lifting frames, straddle carriers and works trucks fitted with a crane - Other
8428 20 Pneumatic elevators and conveyors
8428 32 Other continuous-action elevators and conveyors, for goods or materials - Other, bucket type
8428 33 Other continuous-action elevators and conveyors, for goods or materials - Other, belt type
8428 90 Other machinery
8429 19 Bulldozers and angledozers - Other
8429 59 Mechanical shovels, excavators and shovel loaders - Other
8439 10 Machinery for making pulp of fibrous cellulosic material
8439 30 Machinery for finishing paper or paperboard
8440 90 Bookbinding machinery, including book-sewing machines - Parts
8441 30 Machines for making cartons, boxes, cases, tubes, drums or similar containers, other than by moulding
8442 40 Parts of the foregoing machinery, apparatus or equipment
8443 13 Other offset printing machinery
8443 15 Letterpress printing machinery, other than reel fed, excluding flexographic printing
8443 16 Flexographic printing machinery
8443 17 Gravure printing machinery
8443 91 Parts and accessories of printing machinery used for printing by means of plates, cylinders and other printing components of heading 8442
8444 00 Machines for extruding, drawing, texturing or cutting man-made textile materials
8448 11 Dobbies and jacquards; card-reducing, copying, punching or assembling machines for use therewith
8448 19 Auxiliary machinery for machines of heading 8444 , 8445 , 8446 or 8447 - Other
8448 33 Spindles, spindle flyers, spinning rings and ring travellers
8448 42 Reeds for looms, healds and heald-frames
8448 49 Parts and accessories of weaving machines (looms) or of their auxiliary machinery - Other
8448 51 Sinkers, needles and other articles used in forming stitches
8451 10 Dry-cleaning machines
8451 29 Drying machines - Other
8451 30 Ironing machines and presses (including fusing presses)
8451 90 Machinery (other than machines of heading 8450 ) for washing, cleaning, wringing, drying, ironing, pressing (including fusing presses), bleaching, dyeing, dressing, finishing, coating or impregnating textile yarns, fabrics or made-up textile articles and machines for applying the paste to the base fabric or other support used in the manufacture of floor coverings such as linoleum; machines for reeling, unreeling, folding, cutting or pinking textile fabrics - Parts
8453 10 Machinery for preparing, tanning or working hides, skins or leather
8453 80 Other machinery
8453 90 Machinery for preparing, tanning or working hides, skins or leather or for making or repairing footwear or other articles of hides, skins or leather, other than sewing machines - Parts
8454 10 Converters
8459 10 Way-type unit head machines
8459 70 Other threading or tapping machines
8461 20 Shaping or slotting machines, for working metals, metal carbides or cermets
8461 30 Broaching machines, for working metals, metal carbides or cermets
8461 40 Gear-cutting, gear-grinding or gear-finishing machines
8461 90 Machine tools for planing, shaping, slotting, broaching, gear cutting, gear grinding or gear finishing, sawing, cutting-off and other machine tools working by removing metal or cermets, not elsewhere specified or included - Other
8466 10 Tool holders and self-opening dieheads
8466 92 Other parts and accessories suitable for use solely or principally with the machines of headings 8456 to 8465 , including work or tool holders, self- opening dieheads, dividing heads and other special attachments for the machines; tool holders for any type of tool for working in the hand - For machines of heading 8464
8472 10 Duplicating machines
8472 30 Machines for sorting or folding mail or for inserting mail in envelopes or bands, machines for opening, closing or sealing mail and machines for affixing or cancelling postage stamps
8473 21 Parts and accessories of the electronic calculating machines of subheading 8470 10 , 8470 21 or 8470 29
8474 10 Sorting, screening, separating or washing machines
8474 39 Mixing or kneading machines - Other
8474 80 Machinery for sorting, screening, separating, washing, crushing, grinding, mixing or kneading earth, stone, ores or other mineral substances, in solid (including powder or paste) form; machinery for agglomerating, shaping or moulding solid mineral fuels, ceramic paste, unhardened cements, plastering materials or other mineral products in powder or paste form; machines for forming foundry moulds of sand - Other machinery
8475 21 Machines for making optical fibres and preforms thereof
8475 29 Machines for manufacturing or hot working glass or glassware - Other
8475 90 Machines for assembling electric or electronic lamps, tubes or valves or flashbulbs, in glass envelopes; machines for manufacturing or hot working glass or glassware - Parts
8479 10 Machinery for public works, building or the like
8479 30 Presses for the manufacture of particle board or fibre building board of wood or other ligneous materials and other machinery for treating wood or cork
8479 50 Industrial robots, not elsewhere specified or included
8479 90 Machines and mechanical appliances having individual functions, not specified or included elsewhere in Chapter 84 - Parts
8480 20 Mould bases
8480 30 Moulding patterns
8480 60 Moulds for mineral materials
8481 10 Pressure-reducing valves
8481 20 Valves for oleohydraulic or pneumatic transmissions
8481 40 Safety or relief valves
8482 40 Tapered roller bearings, including cone and tapered roller assemblies
8482 91 Balls, needles and rollers
8484 20 Mechanical seals
8501 33 Other DC motors; DC generators, other than photovoltaic generators - of an output exceeding 75 kW but not exceeding 375 kW
8501 62 AC generators (alternators), other than photovoltaic generators of an output exceeding 75 kVA but not exceeding 375 kVA
8501 63 AC generators (alternators), other than photovoltaic generators of an output exceeding 375 kVA but not exceeding 750 kVA
8501 64 AC generators (alternators), other than photovoltaic generators of an output exceeding 750 kVA
8502 31 Generating sets, wind-powered
8502 39 Other generating sets - Other
8502 40 Electric rotary converters
8504 33 Transformers having a power handling capacity exceeding 16 kVA but not exceeding 500 kVA
8504 34 Transformers having a power handling capacity exceeding 500 kVA
8505 20 Electromagnetic couplings, clutches and brakes
8506 90 Primary cells and primary batteries - Parts
8507 30 Electric accumulators, including separators therefor, whether or not rectangular (including square) - Nickel-cadmium
8514 31 Electron beam furnaces
8530 90 Electrical signalling, safety or traffic control equipment for railways, tramways, roads, inland waterways, parking facilities, port installations or airfields (other than those of heading 8608 ) - Parts
8532 10 Fixed capacitors designed for use in 50/60 hz circuits and having a reactive power-handling capacity of >= 0,5 kvar ‘power capacitors’
8533 29 Other fixed resistors - Other
8535 30 Isolating switches and make-and-break switches
8535 90 Electrical apparatus for switching or protecting electrical circuits, or for making connections to or in electrical circuits (for example, switches, fuses, lightning arresters, voltage limiters, surge suppressors, plugs and other connectors, junction boxes), for a voltage exceeding 1 000 V - Other
8539 41 Arc lamps
8540 20 Television camera tubes; image converters and intensifiers; other photocathode tubes
8540 60 Other cathode ray tubes
8540 79 Microwave tubes (for example, magnetrons, klystrons, travelling-wave tubes, carcinotrons), excluding grid-controlled tubes - Other
8540 81 Receiver or amplifier valves and tubes
8540 89 Other valves and tubes - Other
8540 91 Parts of cathode ray tubes
8547 90 Insulating fittings for electrical machines, appliances or equipment, being fittings wholly of insulating material apart from any minor components of metal (for example, threaded sockets) incorporated during moulding solely for purposes of assembly, other than insulators of heading 8546 ; electrical conduit tubing and joints therefor, of base metal lined with insulating material - Other
8602 90 Rail locomotives powered by electric accumulators
8604 00 Railway or tramway maintenance or service vehicles, whether or not self-propelled (for example, workshops, cranes, ballast tampers, trackliners, testing coaches and track inspection vehicles)
8606 92 Other railway or tramway goods vans and wagons, not self-propelled - Open, with non-removable sides of a height exceeding 60 cm
8701 21 Road tractors for semi-trailers - With only compression-ignition internal combustion piston engine (diesel or semi-diesel)
8701 22 Road tractors for semi-trailers - With both compression-ignition internal combustion piston engine (diesel or semi-diesel) and electric motor as motors for propulsion
8701 23 Road tractors for semi-trailers - With both spark-ignition internal combustion piston engine and electric motor as motors for propulsion
8701 24 Road tractors for semi-trailers - With only electric motor for propulsion
8704 10 Dumpers designed for off-highway use
8704 22 Other motor vehicles for the transport of goods - of a gross vehicle weight exceeding 5 tonnes but not exceeding 20 tonnes:
8704 32 Other motor vehicles for the transport of goods - of a gross vehicle weight exceeding 5 tonnes
8705 90 Special purpose motor vehicles, other than those principally designed for the transport of persons or goods (for example, breakdown lorries, crane lorries, fire fighting vehicles, concrete-mixer lorries, road sweeper lorries, spraying lorries, mobile workshops, mobile radiological units) - Other
8716 39 Other trailers and semi-trailers for the transport of goods - Other
9010 10 Apparatus and equipment for automatically developing photographic (including cinematographic) film or paper in rolls or for automatically exposing developed film to rolls of photographic paper
9015 40 Photogrammetrical surveying instruments and appliances
9015 80 Other instruments and appliances
9015 90 Surveying (including photogrammetrical surveying), hydrographic, oceanographic, hydrological, meteorological or geophysical instruments and appliances, excluding compasses; rangefinders - Parts and accessories
9029 10 Revolution counters, production counters, taximeters, milometers, pedometers and the like
9401 10 Seats for aircraft
9401 20 Seats for motor vehicles
9403 30 Wooden furniture of a kind used in offices
9406 10 Prefabricated buildings of wood
9406 90 Prefabricated buildings, whether or not complete or already assembled - Other
9606 30 Button moulds and other parts of buttons; button blanks
9608 91 Pen nibs and nib points
9612 20 Ink-pads, whether or not inked, with or without boxes
9005 10 00Binoculars
9015 10 00Range Finders
85407100Magnetrons
85066000Air-zinc cells and batteries (excl. spent)
8442 3000Machinery, apparatus and equipment for preparing or making printing plates, cylinders or other printing components (excl. machines of headings 8456 to 8465)
8427 2011Rough terrain fork-lift and other stacking trucks, self-propelled, with a lifting height >= 1 m
8427 2019Works trucks, self-propelled, with a lifting height >= 1 m, non- powered with an electric motor (excl. rough terrain fork-lift trucks and other stacking trucks)
8427 2090Works trucks, self-propelled, with a lifting height < 1 m, non-powered with an electric motor
8502 1320Generating sets with compression-ignition internal combustion piston engine “diesel or semi-diesel engine” of an output > 375 kVA but <= 750 kVA
8502 1340Generating sets with compression-ignition internal combustion piston engine “diesel or semi-diesel engine” of an output > 750 kVA but <= 2.000 kVA
8502 1380Generating sets with compression-ignition internal combustion piston engine “diesel or semi-diesel engine” of an output > 2.000 kVA
8601 1000Rail locomotives powered from an external source of electricity
8418 6100Heat pumps (excl. air conditioning machines of heading 8415)
8516 2100Electric storage heating radiators, for space-heating
8443 1100Offset printing machinery, reel fed
8461 5011Circular saws for working metals, metal carbides or cermets (excl. machines for working in the hand)
8461 5019Sawing machines for working metals, metal carbides or cermets (excl. machines for working in the hand and circular saws)
8461 5090Cutting-off machines for working metals, metal carbides or cermets (excl. machines for working in the hand and sawing machines)

Regulation 21

SCHEDULE 3FU.K.Oil and Oil Products

PART 1U.K.General

InterpretationU.K.

1.  Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

PART 2U.K.

Oil and Oil ProductsU.K.

2.  Any thing falling within a commodity code mentioned in column 1 of the following table.U.K.

(1)

Commodity code

(2)

Description

2709 Petroleum oils and oils obtained from bituminous minerals, crude.
2710Petroleum oils and oils obtained from bituminous minerals, other than crude; preparations not elsewhere specified or included, containing by weight 70% or more of petroleum oils or of oils obtained from bituminous minerals, these oils being the basic constituents of the preparations; waste oils.
2711Petroleum gases and other gaseous hydrocarbons, excluding LNG under HS code 2711 11, which will be banned via separate policy instructions
2712Petroleum jelly; paraffin wax, microcrystalline petroleum wax, slack wax, ozokerite, lignite wax, peat wax, other mineral waxes, and similar products obtained by synthesis or by other processes, whether or not coloured.
2713Petroleum coke, petroleum bitumen and other residues of petroleum oils or of oils obtained from bituminous minerals.
2714Bitumen and asphalt, natural; bituminous or oil-shale and tar sands; asphaltites and asphaltic rocks.
2715Bituminous mixtures based on natural asphalt, on natural bitumen, on petroleum bitumen, on mineral tar or on mineral tar pitch (for example, bituminous mastics, cut-backs).
2207Undenatured ethyl alcohol of an alcoholic strength by volume of 80%vol or higher; ethyl alcohol and other spirits, denatured, of any strength
3826Biodiesel oil and mixtures thereof, not containing or containing less than 70% by weight of petroleum oils or oils obtained from bituminous minerals

Regulation 21

SCHEDULE 3GU.K.Gold and Products Related to Gold

PART 1U.K.General

InterpretationU.K.

1.  Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

PART 2U.K.

2.  Any thing falling within a commodity code mentioned in column 1 of the following table.U.K.

(1)

Commodity Code

(2)

Description

7108Gold (including gold plated with platinum), unwrought or in semi-manufactured forms, or in powder form
71129 10000Waste and scrap of gold, including metal clad with gold but excluding sweepings containing other precious metals.

3.  Any thing falling—U.K.

(a)within a commodity code mentioned in column 1 of the following table; and

(b)within the description in column 2 beside that code.

(1)

Commodity Code

(2)

Description

ex 7118 9000Gold coin

Regulation 21

SCHEDULE 3HU.K.Coal and Coal Products

PART 1U.K.General

InterpretationU.K.

1.  Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

PART 2U.K.

2.  Any thing falling within a commodity code mentioned in column 1 of the following table.U.K.

(1)

Commodity code

(2)

Description

2701Coal; briquettes, ovoids and similar solid fuels manufactured from coal
2702Lignite, whether or not agglomerated, excluding jet
2703Peat (including peat litter), whether or not agglomerated
2704Coke and semi-coke of coal, of lignite or of peat, whether or not agglomerated; retort carbon
2705Coal gas, water gas, producer gas and similar gases, other than petroleum gases and other gaseous hydrocarbons
2706Tar distilled from coal, from lignite or from peat, and other mineral tars, whether or not dehydrated or partially distilled, including reconstituted tars
2707Oils and other products of the distillation of high temperature coal tar; similar products in which the weight of the aromatic constituents exceeds that of the non-aromatic constituents
2708Pitch and pitch coke, obtained from coal tar or from other mineral tars]

Regulations 32 to 38

F328SCHEDULE 4U.K.Persons named in relation to dual-use items restrictions

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulation 64(2)

SCHEDULE 5U.K.Treasury licences: purposes

[F329PART A1U.K.Interpretation

Textual Amendments

Interpretation of Schedule 5U.K.

A1.  In this Schedule—

“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963F330, and any reference to the functions of a consular post is to be read in accordance with that Convention;

“diplomatic mission” and any reference to the functions of a diplomatic mission are to be read in accordance with the Vienna Convention on Diplomatic Relations done at Vienna on 18 April 1961F331;

“humanitarian assistance activity” includes the work of international and non-governmental organisations carrying out relief activities for the benefit of the civilian population of a country;

“medical goods” includes medicines and medical devices;

“spaceflight activity” has the meaning given in section 1(6) of the Space Industry Act 2018.]

Textual Amendments

F330United Nations Treaty Series, vol. 596, p.261.

F331United Nations Treaty Series, vol. 500, p. 95.

PART 1U.K.Asset-freeze etc.

Interpretation [F332of Part 1] U.K.

1.  In this Part of this Schedule—

“designated person” has the same meaning as it has in Chapter 1 of Part 3 ([F333Asset-freeze etc.]);

“frozen funds or economic resources” means funds or economic resources frozen by virtue of regulation 11, and any reference to a person's frozen funds or economic resources is to funds or economic resources frozen as a consequence of the designation of that person for the purpose of that regulation.

Textual Amendments

Commencement Information

I123Sch. 5 para. 1 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Basic needsU.K.

2.—(1) To enable the basic needs of a designated person, or (in the case of an individual) any dependent family member of such a person, to be met.

(2) In the case of an individual, in sub-paragraph (1) “basic needs” includes—

(a)medical needs;

(b)needs for—

(i)food;

(ii)[F334payment] of insurance premiums;

(iii)[F335payment] of tax;

(iv)rent or mortgage payments;

(v)utility payments.

(3) In the case of a person other than an individual, in sub-paragraph (1) “basic needs” includes needs for—

(a)payment of insurance premiums;

(b)payment of reasonable fees for the provision of property management services;

(c)payment of remuneration, allowances or pensions of employees;

(d)payment of tax;

(e)rent or mortgage payments;

(f)utility payments.

(4) In sub-paragraph (1)—

“dependent” means financially dependent;

“family member” includes—

(a)

the wife or husband of the designated person;

(b)

the civil partner of the designated person;

(c)

any parent or other ascendant of the designated person;

(d)

any child or other descendant of the designated person;

(e)

any person who is a brother or sister of the designated person, or a child or other descendant of such a person.

Textual Amendments

Commencement Information

I124Sch. 5 para. 2 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Legal servicesU.K.

3.  To enable the payment of—

(a)reasonable professional fees for the provision of legal services, or

(b)reasonable expenses associated with the provision of legal services.

Commencement Information

I125Sch. 5 para. 3 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Maintenance of frozen funds and economic resourcesU.K.

4.  To enable the payment of—

(a)reasonable fees, or

(b)reasonable service charges,

arising from the routine holding or maintenance of frozen funds or economic resources.

Commencement Information

I126Sch. 5 para. 4 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Extraordinary expensesU.K.

5.  To enable an extraordinary expense of a designated person to be met.

Commencement Information

I127Sch. 5 para. 5 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Pre-existing judicial decisions etc.U.K.

6.  To enable, by the use of a designated person's frozen funds or economic resources, the implementation or satisfaction (in whole or in part) of a judicial, administrative or arbitral decision or lien, provided that—

(a)the funds or economic resources so used are the subject of the decision or lien,

(b)the decision or lien—

(i)was made or established before the date on which the person became a designated person, and

(ii)is enforceable in the United Kingdom, and

(c)the use of the frozen funds or economic resources does not directly or indirectly benefit any other designated person.

Commencement Information

I128Sch. 5 para. 6 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Extraordinary situationU.K.

7.  To enable anything to be done to deal with an extraordinary situation.

Commencement Information

I129Sch. 5 para. 7 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Prior obligationsU.K.

8.  To enable, by the use of a designated person's frozen funds or economic resources, the satisfaction of an obligation of that person (whether arising under a contract, other agreement or otherwise), provided that—

(a)the obligation arose before the date on which the person became a designated person, and

(b)no payments are made to another designated person, whether directly or indirectly.

Commencement Information

I130Sch. 5 para. 8 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Consular postsU.K.

9.—(1) To enable anything to be done in order that the functions of a consular post in [F336non-government controlled Ukrainian territory], or of an international organisation enjoying immunities in accordance with international law, may be carried out.

F337(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I131Sch. 5 para. 9 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F338Humanitarian assistance activityU.K.

9A.  To enable anything to be done in connection with the performance of any humanitarian assistance activity.

Textual Amendments

Medical goods or servicesU.K.

9B.—(1) To enable anything to be done in connection with the provision of medical goods or services for the benefit of the civilian population of a country.

(2) To enable the import, export or use of medical goods.

Textual Amendments

FoodU.K.

9C.  To enable anything to be done in connection with the production or distribution of food for the benefit of the civilian population of a country.

Textual Amendments

Diplomatic missions etc.U.K.

9D.—(1) To enable anything to be done in order that the functions of a diplomatic mission or consular post in Russia or of an international organisation enjoying immunities in accordance with international law may be carried out.

(2) To enable anything to be done in order that the functions of a diplomatic mission or consular post of Russia in the United Kingdom may be carried out.

Textual Amendments

PART 1AU.K.Loans and credit arrangements

Humanitarian assistance activityU.K.

9E.  To enable anything to be done in connection with the performance of any humanitarian assistance activity.

Medical goods or servicesU.K.

9F.—(1) To enable anything to be done in connection with the provision of medical goods or services for the benefit of the civilian population of a country.

(2) To enable the import, export or use of medical goods.

FoodU.K.

9G.  To enable anything to be done in connection with the production or distribution of food for the benefit of the civilian population of a country.

Diplomatic missions etc.U.K.

9H.—(1) To enable anything to be done in order that the functions of a diplomatic mission or consular post in Russia, or of an international organisation enjoying immunities in accordance with international law may be carried out.

(2) To enable anything to be done in order that the functions of a diplomatic mission or consular post of Russia in the United Kingdom may be carried out.

SpaceU.K.

9I.  To enable anything to be done in order for a United Kingdom person to undertake spaceflight activity.

Extraordinary situationU.K.

9J.  To enable anything to be done to deal with an extraordinary situation.

PART 1BU.K.Correspondent banking relationships etc.

Interpretation of Part 1BU.K.

9K.  In this Part, “designated person” has the meaning given in regulation 17A.

Basic needsU.K.

9L.—(1) To enable the basic needs of a designated person, or a person owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person, to be met.

(2) In the case of a person other than an individual, in sub-paragraph (1) “basic needs” includes needs for—

(a)payment of insurance premiums;

(b)payment of reasonable fees for the provision of property management services;

(c)payment of reasonable fees for the provision of insolvency services;

(d)payment of remuneration, allowances or pensions of employees;

(e)payment of tax;

(f)rent or mortgage payments;

(g)utility payments.

Legal servicesU.K.

9M.  To enable the payment of—

(a)reasonable professional fees for the provision of legal services to the designated person or a person owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person, or

(b)reasonable expenses associated with the provision of legal services to the designated person (or a person owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

Financial regulationU.K.

9N.—(1) To enable anything to be done by, or on behalf of, a relevant financial authority for the purposes of the functions of that authority.

(2) In sub-paragraph (1), “relevant financial authority” means authorities involved in the regulation of financial services in the United Kingdom, including the Financial Conduct Authority, the Prudential Regulation Authority and the Bank of England.

Extraordinary situationU.K.

9O.  To enable anything to be done to deal with an extraordinary situation.

PART 1CU.K.Sterling payments

Humanitarian assistance activityU.K.

9P.  To enable anything to be done in connection with the performance of any humanitarian assistance activity.

Medical goods or servicesU.K.

9Q.—(1) To enable anything to be done in connection with the provision of medical goods or services for the benefit of the civilian population of a country.

(2) To enable the import, export or use of medical goods.

FoodU.K.

9R.  To enable anything to be done in connection with the production or distribution of food for the benefit of the civilian population of a country.

Diplomatic missions etc.U.K.

9S.—(1) To enable anything to be done in order that the functions of a diplomatic mission or consular post in Russia, or of an international organisation enjoying immunities in accordance with international law may be carried out.

(2) To enable anything to be done in order that the functions of a diplomatic mission or consular post of Russia in the United Kingdom may be carried out.

SpaceU.K.

9T.  To enable anything to be done in order for a United Kingdom person to undertake spaceflight activity.]

[F339PART 1DU.K.Foreign exchange reserve and asset management services

Textual Amendments

Humanitarian assistance activityU.K.

9U.  To enable anything to be done in connection with the performance of any humanitarian assistance activity.

Financial regulationU.K.

9V.—(1) To enable anything to be done by, or on behalf of, a relevant financial authority for the purposes of the functions of that authority.

(2) In sub-paragraph (1), “relevant financial authority” means authorities involved in the regulation of financial services in the United Kingdom, including the Financial Conduct Authority, the Prudential Regulation Authority and the Bank of England.

Financial stabilityU.K.

9W.  To enable anything to be done by a person, following consultation by that person (or a person acting on their behalf) with the Bank of England, that is necessary or expedient in order to protect or enhance the stability of the financial system of the United Kingdom.

Safety and soundness of a firmU.K.

9X.  To enable anything to be done by a person, following consultation by that person (or a person acting on their behalf) with the relevant supervising authority or authorities, that is necessary or expedient in order to promote the safety and soundness of a firm which is supervised by the Bank of England, the Prudential Regulation Authority or the Financial Conduct Authority.

Extraordinary situationU.K.

9Y.  To enable anything to be done to deal with an extraordinary situation.]

PART 2U.K.Investment in [F340non-government controlled Ukrainian territory]

Textual Amendments

Consular postsU.K.

10.—(1) To enable anything to be done in order that the functions of a consular post in [F341non-government controlled Ukrainian territory], or of an international organisation enjoying immunities in accordance with international law, may be carried out.

F342(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I132Sch. 5 para. 10 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Medical and educational purposesU.K.

11.  To enable the carrying out of projects exclusively in support of—

(a)hospitals, or other public health institutions providing medical services, or

(b)civilian education establishments, located in [F343non-government controlled Ukrainian territory].

Textual Amendments

Commencement Information

I133Sch. 5 para. 11 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

12.  To enable anything to be done in relation to the provision or maintenance of appliances or equipment for medical use in [F344non-government controlled Ukrainian territory].U.K.

Textual Amendments

Commencement Information

I134Sch. 5 para. 12 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

Health and the environmentU.K.

13.  To enable anything to be done for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health or safety, infrastructure or the environment.

Commencement Information

I135Sch. 5 para. 13 in force at 31.12.2020 on IP completion day (in accordance with 2020 c. 1, Sch. 5 para. 1(1)), see reg. 1(2)

[F345PART 3U.K.Investments in relation to Russia

Textual Amendments

Extraordinary situationU.K.

14.  To enable anything to be done to deal with an extraordinary situation.

Humanitarian assistance activityU.K.

15.  To enable anything to be done in connection with the performance of any humanitarian assistance activity.

Medical goods or servicesU.K.

16.—(1) To enable anything to be done in connection with the provision of medical goods or services for the benefit of the civilian population of a country.

(2) To enable the import, export or use of medical goods.

FoodU.K.

17.  To enable anything to be done in connection with the production or distribution of food for the benefit of the civilian population of a country.

Diplomatic missions etc.U.K.

18.—(1) To enable anything to be done in order that the functions of a diplomatic mission or consular post in Russia, or of an international organisation enjoying immunities in accordance with international law, may be carried out.

(2) To enable anything to be done in order that the functions of a diplomatic mission or consular post of Russia in the United Kingdom may be carried out.

Safety and soundness of a firmU.K.

19.  To enable anything to be done by a person, following consultation by that person (or a person acting on their behalf) with the relevant supervising authority or authorities, that is necessary or expedient in order to promote the safety and soundness of a firm which is supervised by the Bank of England, the Prudential Regulation Authority or the Financial Conduct Authority.

SpaceU.K.

20.  To enable anything to be done for a United Kingdom person to undertake spaceflight activity.]

Explanatory Note

(This note is not part of the Regulations)

These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c.13) to establish a sanctions regime under that Act in relation to Russia. These Regulations are made for the purpose of encouraging Russia to cease actions destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine. Following the UK's withdrawal from the European Union, these Regulations will replace the EU sanctions regimes in relation to Russia. The EU sanctions regimes are currently implemented via EU Council Decisions and Regulations.

The Regulations confer a power on the Secretary of State to designate persons who are, or have been, involved in destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine. Designated persons may be excluded from the United Kingdom and may be made subject to financial sanctions, including having their funds or economic resources frozen.

These Regulations also impose restrictions on trade in military goods and technology, on certain dual-use and energy-related items, and impose restrictions on supplying infrastructure-related goods and technology to Crimea and on importing goods from Crimea. These Regulations also restrict the provision of services related to the trade in those items. The Regulations also restrict persons from dealing with certain financial instruments, restrict the provision of finance and funds, and restrict investment in relation to Crimea.

The Regulations provide for certain exceptions to this sanctions regime, including in relation to financial sanctions (for example to allow for frozen accounts to be credited with interest or other earnings), trade sanctions and also acts done for the purpose of national security or the prevention of serious crime. The Regulations also confer powers on the Secretary of State and the Treasury to issue licences in respect of activities that would otherwise be prohibited under the financial and trade sanctions imposed. Schedule 5 of these Regulations sets out the purposes pursuant to which the Treasury will issue such licences.

The Regulations make it a criminal offence to contravene, or circumvent, any of the prohibitions in these Regulations and prescribe the mode of trial and penalties that apply to such offences. The Regulations also confer powers on specified maritime enforcement officers to stop and search ships in international and foreign waters for the purpose of enforcing specified trade sanctions and to seize goods found on board ships which are being, or have been, dealt with in contravention, or deemed contravention, of those prohibitions. The Regulations prescribe powers for the provision and sharing of information to enable the effective implementation and enforcement of the sanctions regime.

The Regulations revoke the relevant EU Regulations relating to the existing EU Russia sanctions regimes, in so far as those Regulations would have had effect in the UK after exit day. The Regulations also revoke existing UK trade and financial sanctions regulations relating to the existing EU Russia sanctions regimes.

Yn ôl i’r brig

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