SCHEDULES

SCHEDULE 1Rules for interpretation of regulation 7(2)

Regulation 7(3)

Application of ScheduleI11

1

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

2

They also apply for the purpose of interpreting this Schedule.

Joint interestsI22

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

Joint arrangementsI33

1

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

2

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

3

“Arrangement” has the meaning given by paragraph 12.

Calculating shareholdingsI44

1

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

2

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

a

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

b

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

Voting rightsI55

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.

I66

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

Rights to appoint or remove members of the boardI77

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.

I88

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

Shares or rights held “indirectly”I99

1

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

a

holds the share in question, or

b

is part of a chain of persons—

i

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

ii

the last of whom holds the share.

2

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

a

holds that right, or

b

is part of a chain of persons—

i

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

ii

the last of whom holds that right.

3

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

a

A holds a majority of the voting rights in B,

b

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

c

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

d

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

4

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

a

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

b

the directorship is held by A itself.

Shares held by nomineesI1010

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

Rights treated as held by person who controls their exerciseI1111

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.

I1212

“Arrangement” includes—

a

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

b

any convention, custom or practice of any kind.

Rights exercisable only in certain circumstances etcI1313

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 M1

b

administration within the meaning of the Insolvency (Northern Ireland) Order 1989 M2, or

c

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

4

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

Rights attached to shares held by way of securityI1414

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.

SCHEDULE 2List of internal repression goods and internal repression technology

Regulation 19

Firearms and related goodsI151

Firearms, ammunition and related accessories, as follows—

a

firearms;

b

ammunition specially designed for firearms;

c

weapon-sights.

I162

Simulators for training persons to use firearms.

I173

Bombs and grenades.

VehiclesI184

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 F1sub-paragraph (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 goodsI195

1

Subject to sub-paragraph (3), equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including—

a

firing sets;

b

detonators;

c

igniters;

d

boosters;

e

detonating cord.

2

Subject to sub-paragraph (3), 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.

I206

Linear cutting explosive charges.

I217

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 goodsI228

1

Subject to sub-paragraph (2), the following equipment designed for the protection of F2a 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 F3sub-paragraph (1)(a) or (b) when accompanying a person for that person's own protection.

I239

Night vision equipment.

I2410

Thermal imaging equipment.

I2511

Image intensifier tubes.

I2612

Razor barbed wire.

I2713

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.

Production equipmentI2814

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 this Schedule.

Software and technologyI2915

Any software which is specially designed for the simulators mentioned in paragraph 2.

I3016

Any technology which is specially designed F4for the development, production or use of any item mentioned in this Schedule.

InterpretationI31F517

1

In this Schedule, “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 the Dual-Use Regulation—

  • “development”;

  • “production”;

  • “software”;

  • “technology”;

  • “use”.

SCHEDULE 3List of interception and monitoring goods and interception and monitoring technology

Regulation 19

Interception and monitoring equipmentI321

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).

I332

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 technologyI343

Any software or other technology which is specially designed F6for the development, production or use of any goods or software described in paragraph 1 or 2.

InterpretationI35F74

For the purposes of this Schedule, the following terms have the meaning given to them in the Dual-Use Regulation—

  • “development”;

  • “production”;

  • “software”;

  • “technology”;

  • “use”.

Acronyms and abbreviations used in this ScheduleI365

The acronyms and abbreviations used in this Schedule have the following meaning—

ABBREVIATION / ACRONYM

MEANING

ADDITIONAL INFORMATION

IMSI

International Mobile Subscriber Identity

This is a unique identification code for each mobile telephony device, integrated in the SIM card and which allows identification of that SIM, via GSM and UMTS networks.

MSISDN

Mobile Subscriber Integrated Services Digital Network Number

This is a number that uniquely identifies a subscription in a GSM or a UMTS mobile network. It is the telephone number to the SIM card in a mobile phone and therefore identifies a mobile subscriber as well as the IMSI.

IMEI

International Mobile Equipment Identity

This is a number, usually unique, to identify GSM, WCDMA and IDEN mobile phones as well as some satellite phones. It is usually found printed inside the battery compartment of the phone.

TMSI

Temporary Mobile Subscriber Identity

SMS

Short Message System

GSM

Global System for Mobile Communications

GPS

Global Positioning System

GPRS

F11General Packet Radio Service

UMTS

Universal Mobile Telecommunications System

CDMA

Code Division Multiple Access

PSTN

Public Switch Telephone Networks

DHCP

Dynamic Host Configuration Protocol

SMTP

Simple Mail Transfer Protocol

GTP

GPRS Tunnelling Protocol

WEP

Wired Equivalent Privacy

WPA

Wi-Fi Protected Access

VoIP

Voice over Internet Protocol

F12WCDMA

F12Wideband Code Division Multiple Access

F12IDEN

F12Integrated Digital Enhanced Network

SCHEDULE 4Treasury licences: purposes

Regulation 35(2)

InterpretationI371

In this Schedule—

  • “consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963 M3, and any reference to the functions of a consular post is to be read in accordance with that Convention;

  • “designated person” has the same meaning as it has in Part 3 (Finance);

  • F8“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 1961;

  • “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.

Basic needsI382

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

F9payment of insurance premiums;

iii

F10payment 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—

    1. a

      the wife or husband of the designated person;

    2. b

      the civil partner of the designated person;

    3. c

      any parent or other ascendant of the designated person;

    4. d

      any child or other descendant of the designated person;

    5. e

      any person who is a brother or sister of the designated person, or a child or other descendant of such a person.

Legal servicesI393

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.

Maintenance of frozen funds and economic resourcesI404

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.

Extraordinary expensesI415

To enable an extraordinary expense of a designated person to be met.

Pre-existing judicial decisions etcI426

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.

Diplomatic missionsI437

To enable anything to be done in order that the functions of a diplomatic mission or consular post in Venezuela, or of an international organisation enjoying immunities in accordance with international law may be carried out.

Extraordinary situationI448

To enable anything to be done to deal with an extraordinary situation.

Prior obligationsI459

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.