Division Division 1 - Charter of the United Nations (Sanctions — Democratic People’s Republic of Korea) Regulations 2008 - UN sanction enforcement laws | Zoe
Charter of the United Nations (Sanctions — Democratic People’s Republic of Korea) Regulations 2008
Division 1UN sanction enforcement laws
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These Regulations are the Charter of the United Nations (Sanctions—Democratic People’s Republic of Korea) Regulations 2008.
4 Definitions
In these Regulations:
Act means the Charter of the United Nations Act 1945.
arms or related matériel includes:
(a) weapons; and
(b) ammunition; and
(c) military vehicles and equipment; and
(d) spare parts and accessories for the things mentioned in paragraphs (a) to (c); and
(e) paramilitary equipment.
Australian aircraft has the same meaning as in the Criminal Code.
Australian citizen has the same meaning as in the Australian Citizenship Act 2007.
Australian flagged vessel means a vessel entitled to fly the flag of Australia.
Australian‑owned ship has the same meaning as in the Shipping Registration Act.
Australian ship has the same meaning as in the Criminal Code.
authorised commercial activity means a sanctioned commercial activity authorised by a permit granted under regulation 14G.
authorised scientific or technical cooperation means sanctioned scientific or technical cooperation authorised by a permit granted under regulation 14HB.
authorised service means a sanctioned service that is authorised by:
(a) a permit under regulation 14E or 14EA; or
(b) if the service is provided in a foreign country—a permit:
(i) granted by the foreign country; and
(ii) properly granted by the foreign country; and
(iii) granted in a way that accords with the foreign country’s obligations under resolutions of the Security Council relating to the DPRK.
authorised supply means a sanctioned supply that is authorised by:
(a) a permit under regulation 14B; or
(b) if the supply, sale or transfer takes place in or from a foreign country—a permit:
(i) granted by the foreign country; and
(ii) properly granted by the foreign country; and
(iii) granted in a way that accords with the foreign country’s obligations under resolutions of the Security Council relating to the DPRK.
aviation fuel includes aviation gasoline, naphtha‑type jet fuel, kerosene‑type jet fuel and kerosene‑type rocket fuel.
bunkering service, for a vessel, includes:
(a) the provision of fuel to the vessel; and
(b) the provision of supplies to the vessel; and
(c) other servicing of the vessel.
Committee means the Committee established by paragraph 12 of Resolution 1718.
controlled asset means:
(a) an asset owned or controlled by:
(i) a designated person or entity; or
(ii) a person acting on behalf of or at the direction of a designated person or entity; or
(iii) an entity owned or controlled by a designated person or entity, including through illicit means; or
(b) an asset derived from an asset owned or controlled, directly or indirectly, by:
(i) a designated person or entity; or
(ii) a person acting on behalf of or at the direction of a designated person or entity; or
(iii) an entity owned or controlled by a designated person or entity, including through illicit means; or
(c) a vessel that is, as a result of being designated by the Committee, subject to the asset freeze imposed by paragraph 8(d) of Resolution 1718.
correspondent banking relationship has the meaning given by section 5 of the Anti‑Money Laundering and Counter‑Terrorism Financing Act 2006.
designated person or entity means a person or entity:
(a) designated by the Minister under regulation 4A; or
(b) designated by the Security Council or the Committee for the purposes of paragraph 8(d) of Resolution 1718; or
(c) to whom the measures mentioned in paragraph 8(d) of Resolution 1718 apply under a decision of the Security Council or the Committee.
Note: A list of persons and entities mentioned in paragraphs (b) and (c) could in 2017 be viewed on the United Nations’ website (http://www.un.org).
DPRK means the Democratic People’s Republic of Korea.
DPRK flagged or registered vessel means a vessel entitled to fly the flag of the DPRK or registered in the DPRK.
DPRK person or entity means any of the following:
(a) the government of the DPRK;
(b) the Workers’ Party of Korea;
(c) the Korean People’s Army;
(d) a public body, corporation or agency of the DPRK;
(e) an entity formed or incorporated in the DPRK;
(f) an official of an entity referred to in paragraph (a), (b), (c), (d) or (e);
(g) an individual who is in, or a resident of, the DPRK.
DPRK vessel means a vessel registered in the DPRK or owned or controlled by the DPRK.
export sanctioned goods has the meaning given by subregulation 5(1A).
General Register has the same meaning as in the Shipping Registration Act.
goods include items, materials, equipment and technology.
Harmonized Commodity Description and Coding System means the Harmonized Commodity Description and Coding System that is established by or under the International Convention on the Harmonized Commodity Description and Coding System done at Brussels on 14 June 1983, as in force for Australia from time to time.
Note: The Convention is in Australian Treaty Series 1988 No. 30 ([1988] ATS 30) and could in 2018 be viewed in the Australian Treaties Library on the AustLII website (http://www.austlii.edu.au).
HS chapter means a chapter of the Harmonized Commodity Description and Coding System, as in force from time to time.
import authorised goods means import sanctioned goods the procurement, receipt or transport of which is authorised by a permit granted under regulation 14D, 14DA or 14DB.
import sanctioned goods has the meaning given by subregulation 7(1A).
International Register has the same meaning as in the Shipping Registration Act.
investment service means the following services and activities:
(a) reception and transmission of orders in relation to one or more financial instruments;
(b) execution of orders on behalf of clients;
(c) dealing on own account;
(d) portfolio management;
(e) investment advice;
(f) either or both of the following:
(i) underwriting of financial instruments;
(ii) placing of financial instruments on a firm commitment basis;
(g) placing of financial instruments without a firm commitment basis;
(h) any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility.
paramilitary equipment means any of the following:
(a) batons, clubs, riot sticks and similar devices of a kind used for law enforcement purposes;
(b) body armour, including:
(i) bullet‑resistant apparel; and
(ii) bullet‑resistant pads; and
(iii) protective helmets;
(c) handcuffs, leg‑irons and other devices used for restraining prisoners;
(d) riot protection shields;
(e) whips;
(f) parts and accessories designed or adapted for use in, or with, equipment mentioned in paragraphs (a) to (e).
permanent resident has the same meaning as in the Australian Citizenship Act 2007.
Registrar has the same meaning as in the Shipping Registration Act.
Resolution 1718 means Resolution 1718 (2006) of the Security Council, adopted on 14 October 2006.
Resolution 1874 means Resolution 1874 (2009) of the Security Council, adopted on 12 June 2009.
Resolution 2087 means Resolution 2087 (2013) of the Security Council, adopted on 22 January 2013.
Resolution 2094 means Resolution 2094 (2013) of the Security Council, adopted on 7 March 2013.
Resolution 2270 means Resolution 2270 (2016) of the Security Council, adopted on 2 March 2016.
Resolution 2321 means Resolution 2321 (2016) of the Security Council, adopted on 30 November 2016.
Resolution 2356 means Resolution 2356 (2017) of the Security Council, adopted on 2 June 2017.
Resolution 2371 means Resolution 2371 (2017) of the Security Council, adopted on 5 August 2017.
Resolution 2375 means Resolution 2375 (2017) of the Security Council, adopted on 11 September 2017.
Resolution 2397 means Resolution 2397 (2017) of the Security Council, adopted on 22 December 2017.
sanctioned commercial activity has the meaning given by regulation 8A.
sanctioned scientific or technical cooperation means scientific or technical cooperation involving persons or groups officially sponsored by the Democratic People’s Republic of Korea, or representing the Democratic People’s Republic of Korea, but does not include medical exchanges.
sanctioned service has the meaning given in regulation 8.
sanctioned supply has the meaning given in regulation 6.
Security Council means the United Nations Security Council.
Shipping Registration Act means the Shipping Registration Act 1981.
specified export sanctioned goods has the meaning given by subregulation 5(1).
specified import sanctioned goods has the meaning given by subregulation 7(1).
4A Designation of persons or entities
For the purposes of paragraph (a) of the definition of designated person or entity, the Minister may, by legislative instrument, designate an entity of:
(a) the government of the Democratic People’s Republic of Korea; or
(b) the Workers’ Party of the Democratic People’s Republic of Korea;
if the Minister is satisfied that the entity is associated with either or both of the following:
(c) the nuclear or ballistic missile programs, or other weapons of mass destruction programs, of the Democratic People’s Republic of Korea;
(d) activities prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270, or any other relevant Resolution of the Security Council.
5 Export sanctioned goods
(1A) The following goods are export sanctioned goods:
(a) specified export sanctioned goods;
(b) goods (whether or not they originate in Australia):
(i) that are not specified export sanctioned goods; and
(ii) that are not food or medicine.
(1) The following goods (whether or not they originate in Australia) are specified export sanctioned goods:
(a) arms or related matériel;
(aa) aviation fuel;
(ab) condensates and natural gas liquids;
(ac) refined petroleum products;
(ad) crude oil;
(b) goods mentioned in the luxury goods list determined by the Minister under subregulation (2);
(c) either:
(i) goods mentioned in a document specified by the Minister under subregulation (3); or
(ii) if no legislative instrument is in force under subregulation (3)—goods mentioned in subregulation (4);
(d) goods:
(i) determined by the Security Council or the Committee for the purposes of subparagraph 8(a)(i) or (ii) of Resolution 1718; or
(ii) to which the measures mentioned in paragraphs 8(a), (b) and (c) of Resolution 1718 apply under a decision of the Security Council or the Committee;
(e) goods that the Minister has determined could contribute to:
(i) the nuclear or ballistic missile programs, or other weapons of mass destruction programs, of the Democratic People’s Republic of Korea; or
(ii) activities prohibited, or the evasion of measures imposed, by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270, or any other relevant Resolution of the Security Council;
(f) new helicopters;
(g) vessels;
(h) goods covered by any of HS chapters 72 to 89.
(2) The Minister may, by legislative instrument, determine a luxury goods list for paragraph (1)(b).
(3) The Minister may, by legislative instrument, specify documents for subparagraph (1)(c)(i).
(4) For subparagraph (1)(c)(ii), the goods are goods mentioned in the following Security Council and International Atomic Energy Agency documents:
(a) S/2006/814;
(b) S/2006/815;
(c) S/2006/853;
(d) INFCIRC/254/Rev.9/Part 1a;
(e) INFCIRC/254/Rev.7/Part 2a.
(5) The Minister may, by legislative instrument, determine goods for the purposes of paragraph (1)(e).
6 Sanctioned supply
(1) A person makes a sanctioned supply if:
(a) the person supplies, sells or transfers goods to another person; and
(b) the goods are export sanctioned goods; and
(c) as a direct or indirect result of the supply, sale or transfer the goods are transferred to the Democratic People’s Republic of Korea, or are incorporated into goods that are transferred to the Democratic People’s Republic of Korea.
(2) A person also makes a sanctioned supply if:
(a) the person transfers to another person:
(i) any financial or other assets or resources, including bulk cash; or
(ii) gold, including through gold couriers; and
(b) that transfer could contribute to:
(i) the nuclear or ballistic missile programs, or other weapons of mass destruction programs, of the Democratic People’s Republic of Korea; or
(ii) activities prohibited, or the evasion of measures imposed, by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270, or any other relevant Resolution of the Security Council.
(3) Despite subregulations (1) and (2), a person does not make a sanctioned supply merely because the person supplies, sells or transfers an amount of aviation fuel for:
(a) a flight of a civil passenger aircraft flagged or registered in the Democratic People’s Republic of Korea, so long as the amount does not exceed the amount necessary for that flight (including a standard margin for safety); or
(b) a flight to the Democratic People’s Republic of Korea of a civil passenger aircraft not flagged or registered in the Democratic People’s Republic of Korea, so long as the amount does not exceed the amount necessary for that flight and the subsequent flight out of the Democratic People’s Republic of Korea (including a standard margin for safety).
7 Import sanctioned goods
(1A) The following goods are import sanctioned goods:
(a) specified import sanctioned goods;
(b) goods (whether or not they originate in the DPRK):
(i) that are not specified import sanctioned goods; and
(ii) that are not food or medicine.
(1) The following goods (whether or not they originate in the DPRK) are specified import sanctioned goods:
(a) arms or related matériel;
(aa) gold, titanium ore, vanadium ore or rare earth minerals;
(b) goods mentioned in paragraph 5(1)(c);
(c) goods:
(i) determined by the Security Council or the Committee for the purposes of subparagraph 8(a)(i) or (ii) of Resolution 1718; or
(ii) to which the measures mentioned in paragraphs 8(a), (b) and (c) of Resolution 1718 apply under a decision of the Security Council or the Committee;
(d) goods that the Minister has determined could contribute to:
(i) the nuclear or ballistic missile programs, or other weapons of mass destruction programs, of the Democratic People’s Republic of Korea; or
(ii) activities prohibited, or the evasion of measures imposed, by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270, or any other relevant Resolution of the Security Council;
(e) copper, nickel, silver or zinc;
(f) statues;
(g) coal, iron or iron ore;
(h) lead or lead ore;
(i) seafood (including fish, crustaceans, molluscs and other aquatic invertebrates);
(j) textiles (including fabrics and partially or fully completed apparel products);
(k) goods covered by HS chapter 07, 08, 12, 25, 44, 84, 85 or 89.
(2) The Minister may, by legislative instrument, determine goods for the purposes of paragraph (1)(d).
8 Sanctioned service
(1) For these Regulations, each of the following is a provision of a sanctioned service:
(a) the provision to any person of technical training, advice, services or assistance, if it assists with, or is provided in relation to, a supply of goods mentioned in paragraphs 5(1)(a), (c), (d) or (e) for the benefit of the Democratic People’s Republic of Korea;
(b) the provision to any person of technical training, advice, services or assistance, if:
(i) it assists with the manufacture, maintenance or use of goods mentioned in paragraphs 5(1)(a), (c), (d) or (e); or
(ii) it could contribute to proliferation sensitive nuclear activities or the development of nuclear weapon delivery systems in the Democratic People’s Republic of Korea;
(c) the transportation of goods:
(i) that are the subject of a sanctioned supply; or
(ii) that are import sanctioned goods in the course of being procured from the Democratic People’s Republic of Korea or from a person or entity in the Democratic People’s Republic of Korea;
(d) a financial transaction related to the supply, manufacture, maintenance or use of arms or related matériel;
(da) the leasing or chartering of an Australian ship or Australian aircraft, or the provision of vessel or aircraft crewing services, to:
(i) the Democratic People’s Republic of Korea; or
(ii) a person who is a resident or national of the Democratic People’s Republic of Korea; or
(iii) a designated person or entity; or
(iv) a person or entity determined by the Minister, by legislative instrument, to have assisted in the evasion of sanctions or in violating Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270, or any other relevant Resolution of the Security Council; or
(v) any other person acting on behalf, or at the direction, of a person or entity mentioned in subparagraph (i), (ii), (iii) or (iv); or
(vi) any other entity owned or controlled by a person or entity mentioned in subparagraph (i), (ii), (iii) or (iv);
(e) brokering or other intermediary services, including when arranging for the provision, maintenance or use of export sanctioned goods;
(f) the provision of financial services that could contribute to:
(i) the nuclear or ballistic missile programs, or other weapons of mass destruction programs, of the Democratic People’s Republic of Korea; or
(ii) another activity prohibited, or the evasion of measures imposed, by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270, or any other relevant Resolution of the Security Council;
(g) the provision of public or private financial support for the purposes of trade with the Democratic People’s Republic of Korea;
(h) the provision of vessel or aircraft crewing services from the Democratic People’s Republic of Korea.
Note: Subparagraph (b)(ii)—the kind of technical training that could contribute to those activities or systems includes training in advanced materials science, advanced chemical, mechanical, electrical or industrial engineering, advanced physics, advanced computer simulation and related computer sciences, geospatial navigation, nuclear engineering, aerospace engineering and aeronautical engineering, and related disciplines.
(1A) The Minister may, by legislative instrument, determine individuals or entities for the purposes of subparagraph (1)(da)(iv).
(1B) For the purposes of these Regulations, a sanctioned service is also the provision to a person of an investment service if it assists with, or is provided in relation to, a sanctioned commercial activity mentioned in subregulation 8A(1) or (2).
(2) In this regulation:
brokering services means:
(a) the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or of financial and technical services, including from a third country to any other third country; or
(b) the selling or buying of goods and technology or of financial and technical services, including where they are located in third countries for their transfer to another third country.
financial services includes the following:
(a) the acceptance of deposits and other repayable funds from the public;
(b) the lending of money;
(c) financial leasing, other than the financial leasing of a consumer product;
(d) the transfer of money or value, other than the provision of message or other support for the purpose of transmitting money;
(e) the giving of financial guarantees and commitments;
(f) trading in money market instruments;
(g) trading foreign exchange;
(h) trading in exchange instruments;
(i) trading in interest rate instruments;
(j) trading in interest index instruments;
(k) trading in transferable securities;
(l) trading in commodity futures;
(m) participation in the issue of securities and the provision of financial services in relation to the issue of securities;
(n) the management of individual or collective portfolios;
(o) the safekeeping and administration of cash or liquid securities;
(p) the investment, administration or management of funds or money;
(q) the underwriting and placement of life insurance and other insurance that is related to investments;
(r) money changing and other currency changing;
(s) the issue and management of means of payment.
Note: Examples of means of payment for paragraph (s) are:
(a) credit and debit cards; or
(b) cheques; or
(c) travellers’ cheques; or
(d) money orders; or
(e) bankers’ drafts; or
(f) electronic money.
insurance means an undertaking or commitment under which a person is obliged, in return for a payment, to provide a person, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the undertaking or commitment.
8A Sanctioned commercial activity
(1) For the purposes of these Regulations, sanctioned commercial activity means:
(a) the opening in Australia of a representative office of an entity or person mentioned in an item of the following table; or
(b) the establishment in Australia of a branch or subsidiary of an entity or person mentioned in an item of the following table; or
(c) the conclusion by a person of an agreement, for or on behalf of an entity or person mentioned in an item of the following table, related to:
(i) the opening in Australia of a representative office of that entity or person; or
(ii) the establishment in Australia of a branch or subsidiary of that entity or person.
Item
Entity or person
1
A financial institution domiciled in the Democratic People’s Republic of Korea
2
A branch or subsidiary, wherever located, of a financial institution domiciled in the Democratic People’s Republic of Korea
3
A financial institution, wherever domiciled, that is controlled by an entity or person domiciled in the Democratic People’s Republic of Korea
(2) For the purposes of these Regulations, sanctioned commercial activity also means:
(a) the establishment by a financial institution of a joint venture with an entity or person mentioned in an item of the following table; or
(b) the establishment by a financial institution of a correspondent banking relationship with an entity or person mentioned in an item of the following table; or
(c) the opening by a financial institution of a representative office in the Democratic People’s Republic of Korea; or
(d) the establishment by a financial institution of a branch or subsidiary in the Democratic People’s Republic of Korea; or
(e) the opening by a financial institution of a bank account with an entity or person mentioned in an item of the following table; or
(f) the acquisition or extension of an interest in an entity or person mentioned in an item of the following table by an Australian financial institution; or
(g) the sale by a person of an interest in an entity or person mentioned in an item of the following table to an Australian financial institution; or
(h) the making available by a person (other than by sale) of an interest in an entity or person mentioned in an item of the following table to an Australian financial institution.
Item
Entity or person
1
A financial institution domiciled in the Democratic People’s Republic of Korea
2
A branch or subsidiary, wherever located, of a financial institution domiciled in the Democratic People’s Republic of Korea
3
A financial institution, wherever domiciled, that is controlled by an entity or person domiciled in the Democratic People’s Republic of Korea
(3) For the purposes of these Regulations, sanctioned commercial activity also means the establishment, maintenance or operation of a joint venture or cooperative entity (however described) with:
(a) a DPRK person or entity; or
(b) a person or entity acting on behalf of, or at the direction of, a DPRK person or entity; or
(c) an entity owned or controlled by a DPRK person or entity.
(4) However, subregulation (3) does not apply to the maintenance or operation of a joint venture or cooperative entity that was established before the commencement of that subregulation until:
(a) 10 January 2018; or
(b) if a request has been made before 10 January 2018 to the Committee for approval of the joint venture or cooperative entity—120 days after the Committee makes a decision on the request.
8B Minister may give notice requiring closure of a bank account
(1) The Minister may, by written notice, direct a person to close the person’s bank account if the account provider is:
(a) a financial institution domiciled in the Democratic People’s Republic of Korea; or
(b) a branch or subsidiary, wherever located, of a financial institution domiciled in the Democratic People’s Republic of Korea; or
(c) a financial institution, wherever domiciled, that is controlled by an entity or a person domiciled in the Democratic People’s Republic of Korea.
(3) The Minister need not give notice to a person under this regulation in respect of a bank account if the Committee has determined that the bank account:
(a) is used to pay funds to ensure the delivery of humanitarian assistance; or
(b) involves the activities of a diplomatic mission in the Democratic People’s Republic of Korea under the Vienna Convention on Diplomatic Relations; or
(c) involves the activities of the United Nations, or a specialised agency or related organisation of the United Nations; or
(d) is for a purpose that is consistent with Resolution 2321 or any other relevant Resolution of the Security Council.
Note: Paragraph (b)—the Vienna Convention on Diplomatic Relations is in Australian Treaty Series 1968 No. 3 ([1968] ATS 3) and could in 2016 be viewed in the Australian Treaties Library on the AustLII website (http://www.austlii.edu.au).
8C Minister may specify vessels—involvement in prohibited activities etc.
The Minister may, by notifiable instrument, specify a vessel for the purposes of this regulation if the Minister has reasonable grounds to believe that it was involved in activities, or the transport of items, prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270, Resolution 2321, Resolution 2356, Resolution 2371, Resolution 2375 or Resolution 2397.
8D Minister may specify vessels not to be registered
(1) The Minister may, by notifiable instrument, specify, for the purposes of this regulation, a vessel that is not registered under the Shipping Registration Act if:
(a) the Minister has reasonable grounds to believe it is owned, controlled or operated by:
(i) a DPRK person or entity; or
(ii) a DPRK citizen; or
(iii) a person or entity acting on behalf, or at the direction, of a DPRK person or entity or a DPRK citizen; or
(iv) an entity owned or controlled by a DPRK person or entity or a DPRK citizen; or
(b) it has been de‑registered by a foreign country in accordance with the foreign country’s obligations under paragraph 19 of Resolution 2270 or paragraph 24 of Resolution 2321; or
(c) it has been de‑registered by a foreign country in accordance with the foreign country’s obligations under paragraph 12 of Resolution 2397 and an approval referred to in that paragraph is not in effect in relation to the vessel.
(2) However, the Minister must not specify a vessel covered by paragraph (1)(a) if it is covered by that paragraph only because the vessel’s captain, master or pilot, or a member of the vessel’s crew, is a resident of the DPRK or a DPRK citizen.
8E Minister may specify vessels for cancellation of registration
(1) The Minister may, by notifiable instrument, specify, for the purposes of this regulation, a vessel that is registered under the Shipping Registration Act if:
(a) the Minister has reasonable grounds to believe it is owned, controlled or operated by:
(i) a DPRK person or entity; or
(ii) a DPRK citizen; or
(iii) a person or entity acting on behalf, or at the direction, of a DPRK person or entity or a DPRK citizen; or
(iv) an entity owned or controlled by a DPRK person or entity or a DPRK citizen; or
(b) it is, as a result of being designated by the Committee, subject to the asset freeze imposed by paragraph 8(d) of Resolution 1718; or
(c) it is designated by the Committee for the purposes of paragraph 12(a) of Resolution 2321.
(2) However, the Minister must not specify a vessel covered by paragraph (1)(a) if it is covered by that paragraph only because the vessel’s captain, master or pilot, or a member of the vessel’s crew, is a resident of the DPRK or a DPRK citizen.
Part 1A—Sanctions laws—registration of ships
8F Ships specified under regulation 8D not to be registered
(1) This regulation applies to a ship that is of a kind mentioned in section 14 or 15B of the Shipping Registration Act if it is specified by the Minister for the purposes of regulation 8D.
(2) If a ship to which this regulation applies is an Australian‑owned ship, then, despite section 12 of the Shipping Registration Act, the ship is not required to be registered under that Act.
(3) If a ship to which this regulation applies is of a kind mentioned in section 14 of the Shipping Registration Act, then, despite that section and section 15E of that Act:
(a) the ship is not permitted to be registered in the General Register; and
(b) if an application under section 15 of that Act is made to register the ship in the General Register, the Registrar must not register the ship in that register.
(4) If a ship to which this regulation applies is of a kind mentioned in section 15B of the Shipping Registration Act, then, despite that section and section 15F of that Act:
(a) the ship is not permitted to be registered in the International Register; and
(b) if an application under section 15C of that Act is made to register the ship in the International Register, the Registrar must not register the ship in that register.
8G Registration of ships specified under regulation 8C or 8E to be cancelled
(1) This regulation applies to a ship if:
(a) both:
(i) it is specified by the Minister for the purposes of regulation 8C; and
(ii) it is registered under the Shipping Registration Act; or
(b) it is specified by the Minister for the purposes of regulation 8E.
Application of section 33C of the Shipping Registration Act
(2) If a ship to which this regulation applies is registered in the General Register, section 33C (apart from paragraph 33C(1)(b)) of the Shipping Registration Act applies to the registration in the same way that it would apply if the ship were registered in the International Register.
Cancellation of registration
(3) The Registrar must:
(a) cancel the registration of a ship to which this regulation applies; and
(b) give written notice of the cancellation, specifying the reason for the cancellation, to each person registered as an owner of the ship in accordance with regulations made under the Shipping Registration Act.
(4) Section 3A of the Shipping Registration Act applies to a cancellation under subregulation (3) in the same way that it applies to a cancellation under that Act.
Cessation of entitlement to registration and prohibition on registration
(5) If a ship to which this regulation applies is an Australian‑owned ship, then, despite section 12 of the Shipping Registration Act, the ship ceases to be required to be registered under that Act.
(6) If a ship to which this regulation applies is of a kind mentioned in section 14 of the Shipping Registration Act, then, despite that section and section 15E of that Act:
(a) the ship ceases to be permitted to be registered in the General Register; and
(b) if (after the ship’s registration is cancelled under subregulation (3)) an application under section 15 of that Act is made to register the ship in the General Register, the Registrar must not register the ship in that register.
(7) If a ship to which this regulation applies is of a kind mentioned in section 15B of the Shipping Registration Act, then, despite that section and section 15F of that Act:
(a) the ship ceases to be permitted to be registered in the International Register; and
(b) if (after the ship’s registration is cancelled under subregulation (3)) an application under section 15C of that Act is made to register the ship in the International Register, the Registrar must not register the ship in that register.
8H Definition of Australian ship in the Criminal Code not affected
The definition of Australian ship in the Dictionary at the end of the Criminal Code is taken to include a ship that, but for regulation 8F or 8G, would be:
(a) a ship registered, or required to be registered, under the Shipping Registration Act; or
(b) an unregistered ship that has Australian nationality.
Part 2—UN sanction enforcement laws and authorisations
Division 1—UN sanction enforcement laws
9 Prohibitions relating to a sanctioned supply
(2) A person contravenes this regulation if:
(a) the person makes a sanctioned supply; and
(b) the sanctioned supply is not an authorised supply.
(3) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (2).
Note: This has the effect that the offence has extraterritorial operation.
(4) A person, whether or not in Australia, and whether or not an Australian citizen, contravenes this regulation if:
(a) the person uses the services of an Australian ship or an Australian aircraft to transport export sanctioned goods in the course of, or for the purpose of, making a sanctioned supply; and
(b) the sanctioned supply is not an authorised supply.
(5) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity, wherever incorporated or situated; and
(b) the other body corporate or entity makes a sanctioned supply; and
(c) the sanctioned supply is not an authorised supply.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
9A Prohibition relating to a sanctioned supply of certain goods—use of Australian pipelines, railways or vehicles
(1) This regulation applies to a sanctioned supply that is a supply, sale or transfer of any of the following goods:
(a) refined petroleum products;
(b) crude oil;
(c) goods covered by any of HS chapters 72 to 89.
(2) A person, whether or not in Australia, and whether or not an Australian citizen, contravenes this regulation if:
(a) in the course of, or for the purpose of, making the sanctioned supply, the person uses any of the following to transport the goods:
(i) a pipeline in Australia;
(ii) a railway in Australia;
(iii) a vehicle that is registered, or is required to be registered, under a law of a State or Territory; and
(b) the sanctioned supply is not an authorised supply.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
10 Prohibitions relating to import sanctioned goods
(2) A person contravenes this regulation if:
(a) the person procures import sanctioned goods from the Democratic People’s Republic of Korea or from a person or entity in the Democratic People’s Republic of Korea; and
(b) the import sanctioned goods are not import authorised goods.
(2A) A person contravenes this regulation if:
(a) the person receives import sanctioned goods from:
(i) the Democratic People’s Republic of Korea; or
(ii) a person or entity in the Democratic People’s Republic of Korea; and
(b) the import sanctioned goods are received for the purposes of repair, servicing, refurbishing, testing, reverse‑engineering or marketing by the person or another person; and
(c) the import sanctioned goods are not import authorised goods.
(3) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (2) or (2A).
Note: This has the effect that the offence has extraterritorial operation.
(4) A person, whether or not in Australia, and whether or not an Australian citizen, contravenes this regulation if:
(a) the person uses the services of an Australian ship or an Australian aircraft to transport import sanctioned goods in the course of, or for the purpose of, procuring or receiving the goods from the Democratic People’s Republic of Korea or from a person or entity in the Democratic People’s Republic of Korea; and
(b) the import sanctioned goods are not import authorised goods.
(5) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity, wherever incorporated or situated; and
(b) the other body corporate or entity procures import sanctioned goods from the Democratic People’s Republic of Korea or a person or entity in the Democratic People’s Republic of Korea; and
(c) the import sanctioned goods are not import authorised goods.
(6) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity, wherever incorporated or situated; and
(b) the other body corporate or entity receives import sanctioned goods from:
(i) the Democratic People’s Republic of Korea; or
(ii) a person or entity in the Democratic People’s Republic of Korea; and
(c) the import sanctioned goods are received for the purposes of repair, servicing, refurbishing, testing, reverse engineering or marketing by the other body corporate or entity or another person; and
(d) the import sanctioned goods are not import authorised goods.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11 Prohibitions relating to sanctioned services
(2) A person contravenes this regulation if:
(a) the person provides a sanctioned service; and
(b) the sanctioned service is not an authorised service; and
(c) the sanctioned service is not provided in relation to an authorised supply.
(3) A person contravenes this regulation if the person procures a sanctioned service from:
(a) the Democratic People’s Republic of Korea; or
(b) a person in the Democratic People’s Republic of Korea; or
(c) a national of the Democratic People’s Republic of Korea.
(4) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (2) or (3).
Note: This has the effect that the offence has extraterritorial operation.
(5) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity, wherever incorporated or situated; and
(b) the other body corporate or entity provides a sanctioned service or procures a sanctioned service from:
(i) the Democratic People’s Republic of Korea; or
(ii) a person in the Democratic People’s Republic of Korea; or
(iii) a national of the Democratic People’s Republic of Korea; and
(c) the sanctioned service is not an authorised service; and
(d) the sanctioned service is not provided in relation to an authorised supply.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11A Prohibition relating to bunkering service
(1) A person contravenes this regulation if the person provides a bunkering service to a DPRK vessel and the provision of the bunkering service is not authorised in accordance with subregulation (3).
(2) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity wherever incorporated or situated; and
(b) the other body corporate or entity provides a bunkering service to a DPRK vessel and the provision of the bunkering service is not authorised in accordance with subregulation (3).
(3) The provision of a bunkering service to a DPRK vessel is authorised:
(a) by a permit under regulation 14F; or
(b) if the bunkering service is provided in a foreign country—by a permit:
(i) granted by the foreign country; and
(ii) properly granted by the foreign country; and
(iii) granted in a way that accords with the foreign country’s obligations under Resolution 1718 and Resolution 1874.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11AA Prohibition relating to ship‑to‑ship transfers
(1) A person contravenes this regulation if:
(a) the person:
(i) transfers goods from a vessel to a DPRK flagged or registered vessel; or
(ii) transfers goods from a DPRK flagged or registered vessel to another vessel; or
(iii) facilitates a transfer of goods between a DPRK flagged or registered vessel and another vessel; and
(b) the goods are being exported from or imported into the Democratic People’s Republic of Korea.
(2) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity wherever incorporated or situated; and
(b) the other body corporate or entity:
(i) transfers goods from a vessel to a DPRK flagged or registered vessel; or
(ii) transfers goods from a DPRK flagged or registered vessel to another vessel; or
(iii) facilitates a transfer of goods between a DPRK flagged or registered vessel and another vessel; and
(c) the goods are being exported from or imported into the Democratic People’s Republic of Korea.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11B Prohibitions relating to engaging in sanctioned commercial activity
Prohibition—persons
(1) A person contravenes this regulation if:
(a) the person engages in a sanctioned commercial activity; and
(b) the sanctioned commercial activity is not an authorised commercial activity.
Note: Paragraph (b)—see subregulation (4).
Extraterritorial operation
(2) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of this regulation.
Note: This has the effect that the offence has extraterritorial operation.
Prohibition—body corporates
(3) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity, wherever incorporated or situated; and
(b) the other body corporate or entity engages in a sanctioned commercial activity; and
(c) the sanctioned commercial activity is not an authorised commercial activity.
Note: Paragraph (b)—see subregulation (4).
Strict liability
(4) Strict liability applies to the circumstance mentioned in paragraph (1)(b) and (3)(c) that the sanctioned commercial activity is not an authorised commercial activity.
Note 1: For strict liability, see section 6.1 of the Criminal Code.
Note 2: A sanctioned commercial activity is not an authorised commercial activity if it is not carried out in accordance with a permit under regulation 14G.
Note 3: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11C Prohibitions relating to holding a bank account
(1) A person contravenes this regulation if:
(a) the person holds a bank account; and
(b) the account provider is:
(i) a financial institution domiciled in the Democratic People’s Republic of Korea; or
(ii) a branch or subsidiary, wherever located, of a financial institution domiciled in the Democratic People’s Republic of Korea; or
(iii) a financial institution, wherever domiciled, that is controlled by an entity or person domiciled in the Democratic People’s Republic of Korea; and
(c) the Minister has directed the person, by written notice under regulation 8B, to close the bank account; and
(d) the person fails to comply with the notice.
Note: Paragraph (c)—see subregulation (4).
(2) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (1).
Note: This has the effect that the offence has extraterritorial operation.
(3) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity wherever incorporated or situated; and
(b) the other body corporate or entity holds a bank account; and
(c) the account provider is:
(i) a financial institution domiciled in the Democratic People’s Republic of Korea; or
(ii) a branch or subsidiary, wherever located, of a financial institution domiciled in the Democratic People’s Republic of Korea; or
(iii) a financial institution, wherever domiciled, that is controlled by an entity or person domiciled in the Democratic People’s Republic of Korea; and
(d) the Minister has directed the other body corporate or entity, by written notice under regulation 8B, to close the bank account; and
(e) the other body corporate or entity fails to comply with the notice.
Note: Paragraph (d)—see subregulation (4).
(4) Strict liability applies to paragraphs (1)(c) and (3)(d).
Note 1: For strict liability, see section 6.1 of the Criminal Code.
Note 2: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11CA Prohibition on procuring fishing rights
(1) A person contravenes this regulation if the person procures a fishing right directly or indirectly from:
(a) the DPRK; or
(b) a person or entity in the DPRK; or
(c) a national of the DPRK.
(2) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (1).
Note: This has the effect that the offence has extraterritorial operation.
(3) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity, wherever incorporated or situated; and
(b) the other body corporate or entity procures a fishing right directly or indirectly from:
(i) the DPRK; or
(ii) a person or entity in the DPRK; or
(iii) a national of the DPRK.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11D Prohibition on vessel ownership and registration etc.
(1) A person contravenes this regulation if:
(a) the person does any of the following:
(i) registers a vessel in the Democratic People’s Republic of Korea;
(ii) obtains an authority that entitles a vessel to fly the flag of the Democratic People’s Republic of Korea;
(iii) provides a classification or certification service, or related service, in respect of a DPRK flagged or registered vessel;
(iiia) provides a classification service to a vessel specified by the Minister for the purposes of regulation 8C that has had its registration under the Shipping Registration Act cancelled under subregulation 8G(3);
(iv) leases or operates a DPRK flagged or registered vessel;
(iva) charters a DPRK flagged or registered vessel;
(v) insures a DPRK flagged or registered vessel;
(vi) provides insurance or reinsurance services to a vessel owned, controlled or operated by the Democratic People’s Republic of Korea, or by a person or entity in, or a national of, the Democratic People’s Republic of Korea;
(vii) provides insurance or reinsurance services to a vessel specified by the Minister for the purposes of regulation 8C; and
(b) that action is not authorised by a permit under regulation 14H.
(2) A person contravenes this regulation if:
(a) the person owns a DPRK flagged or registered vessel; and
(b) ownership of the vessel is not authorised by a permit under regulation 14HA.
(3) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (1) or (2).
Note: This has the effect that the offence has extraterritorial operation.
(4) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity wherever incorporated or situated; and
(b) the other body corporate or entity does any of the following:
(i) registers a vessel in the Democratic People’s Republic of Korea;
(ii) obtains authority that a vessel is entitled to fly the flag of the Democratic People’s Republic of Korea;
(iii) provides a classification or certification service, or related service, in respect of a DPRK flagged or registered vessel;
(iiia) provides a classification service to a vessel specified by the Minister for the purposes of regulation 8C that has had its registration under the Shipping Registration Act cancelled under subregulation 8G(3);
(iv) leases or operates a DPRK flagged or registered vessel;
(iva) charters a DPRK flagged or registered vessel;
(v) insures a DPRK flagged or registered vessel;
(vi) provides insurance or reinsurance services to a vessel owned, controlled or operated by the Democratic People’s Republic of Korea, or by a person or entity in, or a national of, the Democratic People’s Republic of Korea;
(vii) provides insurance or reinsurance services to a vessel specified by the Minister for the purposes of regulation 8C; and
(c) that action is not authorised by a permit under regulation 14H.
(5) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity wherever incorporated or situated; and
(b) the other body corporate or entity owns a DPRK flagged or registered vessel; and
(c) ownership of the vessel is not authorised by a permit under regulation 14HA.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11E Prohibition on services relating to arms and related matériel
(1) A person contravenes this regulation if:
(a) the person procures technical training, advice, services or assistance from:
(i) the Democratic People’s Republic of Korea; or
(ii) a person or entity in the Democratic People’s Republic of Korea; or
(iii) a national of the Democratic People’s Republic of Korea; and
(b) that procurement is related to the provision, manufacture, maintenance or use of arms and related matériel.
(2) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (1).
Note: This has the effect that the offence has extraterritorial operation.
(3) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity wherever incorporated or situated; and
(b) the other body corporate or entity procures technical training, advice, services or assistance from:
(i) the Democratic People’s Republic of Korea; or
(ii) a person or entity in the Democratic People’s Republic of Korea; or
(iii) a national of the Democratic People’s Republic of Korea; and
(c) that procurement is related to the provision, manufacture, maintenance or use of arms and related matériel.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11F Minister’s directions to vessels not to enter any port in Australia
(1) The Minister must direct a vessel not to enter any port in Australia if the Minister has reasonable grounds to believe that:
(a) the vessel is owned or controlled, directly or indirectly, by a designated person or entity within the meaning of paragraph (b) or (c) of the definition of that expression; or
(b) the vessel contains cargo the supply, sale, transfer or export of which is prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270.
(2) However, the Minister is not required to give a direction under subregulation (1) if the Minister is satisfied that the direction would be inconsistent with Australia’s obligations under international law.
(3) The Minister may revoke a direction given under subregulation (1) if the Minister no longer has reasonable grounds to believe the matters mentioned in either of paragraphs (1)(a) and (b).
11G Prohibition on entering port
(1) A person contravenes this regulation if:
(a) the person has command or charge of a vessel; and
(b) the person is not the vessel’s pilot; and
(c) either:
(i) a direction relating to the vessel has been given under regulation 11F; or
(ii) the vessel has been designated by the Committee for the purposes of paragraph 12(c) of Resolution 2321, paragraph 6 of Resolution 2371 or paragraph 6 of Resolution 2375; and
(d) the vessel enters a port in Australia.
(2) However, subregulation (1) does not apply if the vessel enters a port:
(a) because of an emergency; or
(b) to return to its port of origination; or
(c) in the case of a vessel in relation to which a direction under regulation 11F has been given—for inspection; or
(d) in accordance with a determination in advance by the Committee; or
(e) in accordance with a direction by the Committee.
Note: This regulation is a UN sanction enforcement law specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11H Minister’s directions to Australian flagged vessels
Vessel designated by Committee
(1) If an Australian flagged vessel is designated by the Committee for the purposes of paragraph 12(b) of Resolution 2321, the Minister must direct the vessel to enter a port identified by the Committee.
(2) However, the Minister is not required to give a direction under subregulation (1) if the Minister is satisfied that the direction would be inconsistent with Australia’s obligations under international law.
Direction for the purposes of inspection
(3) The Minister may, for the purposes of cooperating with an inspection in accordance with paragraph 8 of Resolution 2375 and paragraph 18 of Resolution 2270, direct an Australian flagged vessel to enter a port.
(4) The port identified in a direction under subregulation (3) must be appropriate and convenient having regard to the vessel and its location.
11J Failure to enter port as directed
A person contravenes this regulation if:
(a) the person owns a vessel (in whole or in part); and
(b) a direction relating to the vessel has been given under regulation 11H; and
(c) the vessel does not, within a reasonable period of time after the direction has been given, enter the port that the vessel has been directed to enter.
Note: This regulation is a UN sanction enforcement law specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
11K Minister’s directions to aircraft
(1) The Minister must direct an aircraft not to take off from, land in or overfly Australia if the Minister has reasonable grounds to believe that the aircraft contains items (prohibited items) the supply, sale, transfer or export of which is prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094 or Resolution 2270.
(2) However, the Minister is not required to give a direction under subregulation (1) if the Minister is satisfied that the direction would be inconsistent with Australia’s obligations under international law.
(3) The Minister may revoke a direction given under subregulation (1) if the Minister no longer has reasonable grounds to believe that the aircraft contains prohibited items.
11L Prohibition relating to sanctioned aircraft
(1) A person contravenes this regulation if:
(a) the person has command or charge of an aircraft; and
(b) a direction relating to the aircraft has been given under regulation 11K; and
(c) the aircraft takes off from, lands in or overflies Australia.
(2) However, subregulation (1) does not apply if the aircraft lands in Australia, or overflies Australia for the purposes of landing:
(a) because of an emergency; or
(b) for an inspection.
Note: This regulation is a UN sanction enforcement law specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
12 Prohibition relating to dealings with designated person or entity
(2) A person contravenes this regulation if:
(a) the person directly or indirectly makes an asset available to, or for the benefit of:
(i) a designated person or entity; or
(ii) a person or entity acting on behalf of or at the direction of a designated person or entity; or
(iii) an entity that is owned or controlled, including through illicit means, by a person or entity acting on behalf of or at the direction of a designated person or entity; and
(b) the making available of the asset is not authorised by a permit under regulation 14.
(3) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (2).
Note 1: Subregulation (3) has the effect that the offence has extraterritorial application.
Note 2: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
13 Prohibition relating to controlled assets
(2) A person contravenes this regulation if:
(a) the person holds a controlled asset; and
(b) the person:
(i) uses or deals with the asset; or
(ii) allows the asset to be used or dealt with; or
(iii) facilitates the use of the asset or dealing with the asset; and
(c) the use or dealing is not authorised by a permit under regulation 14.
(3) Section 15.1 of the Criminal Code applies to an offence under section 27 of the Act that relates to a contravention of subregulation (2).
Note 1: Subregulation (3) has the effect that the offence has extraterritorial application.
Note 2: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
13AA Prohibitions relating to engaging in sanctioned scientific or technical cooperation
Prohibition—persons
(1) A person contravenes this regulation if:
(a) the person engages in sanctioned scientific or technical cooperation; and
(b) the sanctioned scientific or technical cooperation is not authorised scientific or technical cooperation.
Note: Paragraph (b)—see subregulation (4).
Extraterritorial operation
(2) Section 15.1 of the Criminal Code (extended geographical jurisdiction—category A) applies to an offence under section 27 of the Act that relates to a contravention of this regulation.
Note: This has the effect that the offence has extraterritorial operation.
Prohibition—bodies corporate
(3) A body corporate contravenes this regulation if:
(a) the body corporate has effective control over the actions of another body corporate or entity, wherever incorporated or situated; and
(b) the other body corporate or entity engages in sanctioned scientific or technical cooperation; and
(c) the sanctioned scientific or technical cooperation is not authorised scientific or technical cooperation.
Note: Paragraph (c)—see subregulation (4).
Strict liability
(4) Strict liability applies to the circumstance mentioned in paragraphs (1)(b) and (3)(c) that the sanctioned scientific or technical cooperation is not authorised scientific or technical cooperation.
Note: This regulation is a UN sanction enforcement law as specified by the Minister under the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008.
Division 2—Authorisations
13A Minister may grant permits
(1) The Minister may grant a permit under this Division:
(a) on the Minister’s initiative; or
(b) on application by a person.
Note: Section 13A of the Act applies to a permit granted by the Minister under this Division.
(2) A permit may be granted subject to conditions specified in the permit.
14 Permit for assets and controlled assets
(1) The Minister may grant a person a permit authorising:
(a) the making available of an asset to a person or entity that would otherwise contravene subregulation 12(2); or
(b) a use of, or dealing with, a controlled asset.
Note: Section 13A of the Act applies to a permit granted by the Minister under this subregulation.
(2) If an application is made for a permit, the application must specify whether it is an application for:
(a) a basic expense dealing; or
(b) a legally required dealing; or
(c) an extraordinary expense dealing.
Note: For the meanings of the permissible dealings mentioned in paragraphs (a), (b) and (c), see regulation 5 of the Charter of the United Nations (Dealing with Assets) Regulations 2008.
(5) If the application is for a basic expense dealing, the Minister:
(a) must notify the Committee of the application; and
(b) may grant a permit only if 5 working days have passed since the notice was given, and the Committee has not advised against granting a permit to the applicant.
(6) If the application is for a legally required dealing, the Minister must notify the Committee of the application before granting a permit.
(7) If the application is for an extraordinary expense dealing, the Minister:
(a) must notify the Committee of the application; and
(b) may grant a permit only with the approval of the Committee.
Note: Part 2 of the Charter of the United Nations (Dealing with Assets) Regulations 2008 applies to these Regulations.
(8) However, subregulations (2), (5), (6) and (7) do not apply in relation to an application for a permit authorising:
(a) the making available of an asset to a person or entity designated by the Minister under regulation 4A; or
(b) a use of, or dealing with, an asset that would be a controlled asset referred to in paragraph (a) or (b) of the definition of controlled asset in regulation 4 if each reference to a designated person or entity in those paragraphs were a reference only to a person or entity designated by the Minister under regulation 4A;
if:
(c) the asset is required to carry out activities of:
(i) the Democratic People’s Republic of Korea’s missions to the United Nations, or a specialised agency or related organisation of the United Nations; or
(ii) other diplomatic or consular missions of the Democratic People’s Republic of Korea; or
(d) the Committee has determined in advance that the asset is required for the delivery of humanitarian assistance, denuclearisation or any other purpose consistent with the objectives of Resolution 2270.
(9) Also, subregulations (2), (5), (6) and (7) do not apply in relation to an application for a permit authorising a financial transaction with the Foreign Trade Bank of the Democratic People’s Republic of Korea or the Korea National Insurance Corporation if the transaction is solely for the purposes of:
(a) the operation of a diplomatic or consular mission in the Democratic People’s Republic of Korea; or
(b) the delivery of humanitarian assistance by, or in coordination with, the United Nations.
14B Permit to make a sanctioned supply
(1) The Minister may grant a person a permit authorising the making of a sanctioned supply.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
Sanctioned supplies requiring approval by the Committee in advance
(2) The Minister may grant a permit if:
(a) the sanctioned supply is a supply, sale or transfer of:
(i) aviation fuel; or
(ii) a new helicopter that is not arms or related matériel; or
(iii) a vessel that is not arms or related matériel; and
(b) the Committee has approved the sanctioned supply in advance.
Spare parts for DPRK commercial civilian passenger aircraft
(2A) The Minister may grant a permit if the sanctioned supply is a supply, sale or transfer of goods:
(a) that are covered by any of HS chapters 72 to 89; and
(b) that are spare parts needed to maintain the safe operation of a DPRK commercial civilian passenger aircraft.
Refined petroleum products
(3) The Minister may, subject to subregulation (4), grant a permit if:
(a) the sanctioned supply is a supply, sale or transfer of a refined petroleum product; and
(b) the product is being supplied, sold, or transferred exclusively for the livelihood purposes of nationals of the DPRK; and
(c) the supply, sale or transfer does not involve any individual or entity associated with, and is unrelated to generating revenue for, the nuclear or ballistic missile programs of the DPRK or other activities prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270, Resolution 2321, Resolution 2356, Resolution 2371, Resolution 2375 or Resolution 2397; and
(d) the supply, sale or transfer does not involve any person or entity assisting in activities prohibited, or the evasion of the measures imposed, by:
(i) Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270, Resolution 2321, Resolution 2356, Resolution 2371, Resolution 2375 or Resolution 2397; or
(ii) a subsequent resolution of the Security Council relating to the DPRK.
(4) However, the Minister must not grant a permit in a calendar year if Australia has been notified under paragraph 5 of Resolution 2397 that supply, sale and transfer of refined petroleum products must cease for the remainder of the year.
Crude oil
(5) The Minister may grant a permit if:
(a) the sanctioned supply is a supply, sale or transfer of crude oil; and
(b) either:
(i) since the most recent 23 December, the total amount of crude oil supplied, sold or transferred from all countries to the DPRK is not more than the amount mentioned in paragraph 4 of Resolution 2397; or
(ii) the Committee has approved the sanctioned supply in advance.
Export sanctioned goods that are not specified export sanctioned goods
(6) The Minister may grant a permit if:
(a) the sanctioned supply is a supply, sale or transfer of export sanctioned goods that are not specified export sanctioned goods; and
(b) subregulation (7), (8) or (9) applies.
(7) For the purposes of paragraph (6)(b), this subregulation applies if the Minister is reasonably satisfied that the goods are not goods that could directly contribute to the development of the operational capabilities of:
(a) the armed forces of the DPRK; or
(b) the armed forces of a Member State outside the DPRK.
(8) For the purposes of paragraph (6)(b), this subregulation applies if:
(a) the Minister is reasonably satisfied that:
(i) the goods are being supplied, sold, or transferred for humanitarian purposes or exclusively for the livelihood of the DPRK; and
(ii) the goods will not be used by a person or entity in the DPRK to generate revenue; and
(iii) the goods do not relate to any activity prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270 or any other resolution of the Security Council relating to the DPRK (a prohibited activity); and
(b) the Committee has been notified of the sanctioned supply in advance; and
(c) the Committee has been informed of measures taken to prevent the following:
(i) the diversion of the goods for purposes other than the purposes mentioned in subparagraph (a)(i);
(ii) the use of the goods by a person or entity in the DPRK to generate revenue;
(iii) the use of the goods in relation to a prohibited activity.
(9) For the purposes of paragraph (6)(b), this subregulation applies if:
(a) the Committee has been notified of the sanctioned supply; and
(b) the Committee has determined that the sanctioned supply would not be contrary to the objectives of Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270 or any other resolution of the Security Council relating to the DPRK.
14D Permit for import sanctioned goods—coal
(1) The Minister may grant a person a permit authorising the procurement, receipt or transport of a shipment of coal.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister may grant a permit only if:
(a) the Minister is able to confirm, on reasonable grounds, that the coal originated outside the DPRK and was transported through the DPRK solely for export from the Port of Rajin (Rason); and
(b) the procurement, receipt or transport was notified to the Committee in advance; and
(c) the procurement, receipt or transport is unrelated to generating revenue for the nuclear or ballistic missile programs of the DPRK or for other activities prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270, Resolution 2321, Resolution 2356 or Resolution 2371.
14DA Permit for import sanctioned goods—statues or textiles
(1) The Minister may grant a person a permit authorising the person to procure, receive or transport:
(a) a specified statue; or
(b) a shipment of textiles.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister may grant a permit only if:
(a) the Committee has approved the procurement, receipt or transport in advance; or
(b) in the case of textiles—the contract for the sale, supply or transfer of the textiles was finalised before 11 September 2017 and the import of the textiles will be completed before 11 December 2017.
14DB Permit for import sanctioned goods—import sanctioned goods that are not specified import sanctioned goods
(1) The Minister may grant a person a permit authorising the procurement, receipt or transport of import sanctioned goods that are not specified import sanctioned goods.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister may grant a permit if subregulation (3), (4) or (5) applies.
(3) For the purposes of subregulation (2), this subregulation applies if the Minister is reasonably satisfied that the goods are not goods that could directly contribute to the development of the operational capabilities of:
(a) the armed forces of the DPRK; or
(b) the armed forces of a Member State outside the DPRK.
(4) For the purposes of subregulation (2), this subregulation applies if:
(a) the Minister is reasonably satisfied that:
(i) the goods are being procured, received or transported for humanitarian purposes or exclusively for the livelihood of the DPRK; and
(ii) the goods will not be used by a person or entity in the DPRK to generate revenue; and
(iii) the goods do not relate to any activity prohibited by Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270 or any other resolution of the Security Council relating to the DPRK (a prohibited activity); and
(b) the Committee has been notified of the procurement, receipt or transport of the goods in advance; and
(c) the Committee has been informed of measures taken to prevent the following:
(i) the diversion of the goods for purposes other than the purposes mentioned in subparagraph (a)(i);
(ii) the use of the goods by a person or entity in the DPRK to generate revenue;
(iii) the use of the goods in relation to a prohibited activity.
(5) For the purposes of subregulation (2), this subregulation applies if:
(a) the Committee has been notified of the procurement, receipt or transport of the goods; and
(b) the Committee has determined that it would not be contrary to the objectives of Resolution 1718, Resolution 1874, Resolution 2087, Resolution 2094, Resolution 2270 or any other resolution of the Security Council relating to the DPRK.
14E Permit to provide crewing services etc.
(1) The Minister may grant a person a permit authorising the provision of a sanctioned service if the service involves:
(a) the leasing or chartering of an Australian ship or Australian aircraft to a person or entity mentioned in paragraph 8(1)(da); or
(b) the provision of vessel or aircraft crewing services to a person or entity mentioned in paragraph 8(1)(da).
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister may grant a permit only if the Committee has approved the proposed service in advance.
14EA Permit to provide public or private financial support for the purposes of trade
(1) The Minister may grant a person a permit authorising the person to provide public or private financial support for the purposes of trade with the Democratic People’s Republic of Korea.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister may grant a permit only if the Committee has approved the provision of the financial support in advance.
14F Permit to provide a bunkering service
(1) The Minister may grant a person a permit authorising the provision of a bunkering service to a DPRK vessel.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister must not grant the permit if the Minister has reasonable grounds for believing that the vessel is carrying export sanctioned goods, unless the provision of the bunkering service:
(a) is for humanitarian purposes; or
(b) is necessary to facilitate the inspection, seizure or disposal of such goods.
(3) If paragraph (2)(b) applies, the Minister must only grant a permit for a specified period to enable the inspection, seizure or disposal of such goods to occur.
14G Permit to provide sanctioned commercial activity
(1) The Minister may grant to a person a permit that authorises the person to engage in a specified sanctioned commercial activity.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister must not grant a permit unless the specified sanctioned commercial activity was approved by the Committee in advance.
14H Permit to register vessel etc.
(1) The Minister may grant a person a permit authorising a specified action referred to in paragraph 11D(1)(a) or (4)(b) in relation to a vessel.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister may grant a permit only if:
(a) for a permit authorising an action referred to in subparagraph 11D(1)(a)(i) to (v) or (4)(b)(i) to (v)—the Committee has approved the action in advance; and
(b) for a permit authorising an action referred to in subparagraph 11D(1)(a)(vi) or (4)(b)(vi)—a determination referred to in paragraph 22 of Resolution 2321 is in effect in relation to the vessel; and
(c) for a permit authorising an action referred to in subparagraph 11D(1)(a)(vii) or (4)(b)(vii)—a determination referred to in paragraph 11 of Resolution 2397 is in effect in relation to the vessel.
Note: Both paragraphs (a) and (b) of this subregulation may apply to a particular permit (for example, the provision of insurance services to a vessel that is registered in the Democratic People’s Republic of Korea and also owned by a national of the Democratic People’s Republic of Korea may be an action referred to in both subparagraphs 11D(1)(a)(v) and (a)(vi)).
14HA Permit to own vessel
(1) The Minister may grant a person a permit authorising the ownership of a DPRK flagged or registered vessel.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) The Minister may grant a permit only if the Committee has approved the ownership in advance.
14HB Permit to engage in scientific or technical cooperation
(1) The Minister may grant a person a permit authorising the person to engage in specified sanctioned scientific or technical cooperation.
Note: Section 13A of the Act applies to a permit granted by the Minister under this regulation.
(2) If the sanctioned scientific or technical cooperation is in any of the following fields:
(a) nuclear science and technology;
(b) aerospace or aeronautical engineering and technology;
(c) advanced manufacturing production techniques and methods;
the Minister may grant a permit for the cooperation only if the Committee has determined that the cooperation will not contribute to the Democratic People’s Republic of Korea’s proliferation sensitive nuclear activities or ballistic missile‑related programs.
(3) If the sanctioned scientific or technical cooperation is not in a field mentioned in subregulation (2), the Minister may grant a permit for the cooperation only if:
(a) the Minister is satisfied that the cooperation will not contribute to the Democratic People’s Republic of Korea’s proliferation sensitive nuclear activities or ballistic missile‑related programs; and
(b) the Committee has been notified that the Minister is so satisfied.
14J Permit to engage in exempted activity
(1) The Minister may grant a person a permit authorising the person to engage in a specified activity.
(2) The Minister may grant a permit only if the Committee has exempted the activity in advance under any of the following:
(a) paragraph 46 of Resolution 2321;
(b) paragraph 26 of Resolution 2371;
(c) paragraph 26 of Resolution 2375;
(d) paragraph 25 of Resolution 2397.
(3) Division 1 of this Part does not apply to a person who engages in an activity in accordance with a permit granted under this regulation.
Part 3—Miscellaneous
15 Delegations by Minister
(1) The Minister may delegate the Minister’s powers and functions under these Regulations (other than this power of delegation) to:
(a) the Secretary of the Department; or
(b) an SES employee, or acting SES employee, in the Department.
(2) The delegation must be in writing.
(3) The delegate must comply with any directions of the Minister in exercising powers or functions under the delegation.
15A No claim for breach of contract or failure to perform transaction
(1) This regulation applies to:
(a) the government of the Democratic People’s Republic of Korea; and
(b) the following persons and entities:
(i) a person who is resident or national of the Democratic People’s Republic of Korea;
(ii) a person or entity subject to the jurisdiction of the Democratic People’s Republic of Korea;
(iii) a designated person or entity;
(iv) a person or entity able to claim through, or for the benefit of, the government of the Democratic People’s Republic of Korea or a person or entity mentioned in subparagraph (i), (ii) or (iii).
(2) The government of the Democratic People’s Republic of Korea, or the person or entity, must not make a claim or demand, or take any action, against any other person or entity for breach of contract or a failure to perform a transaction if the performance of the contract or transaction was prevented:
(a) under these Regulations; or
(b) because of resolutions relating to the Democratic People’s Republic of Korea, as existing from time to time.
Note: Resolutions relating to the Democratic People’s Republic of Korea could in 2016 be viewed on the United Nations’ website (http://www.un.org).
(3) This regulation has effect despite any other law of the Commonwealth or any law of a State or Territory.
Part 4—Application, savings and transitional provisions
Division 1—Amendments made by the Charter of the United Nations (Sanctions—Democratic People’s Republic of Korea) Amendment (Resolution 2397) Regulations 2018
16 Definitions
In this Division:
commencement day means the day the Charter of the United Nations (Sanctions—Democratic People’s Republic of Korea) Amendment (Resolution 2397) Regulations 2018 commence.
17 Savings provision—permits in force under regulation 14A
(1) This regulation applies to a permit that was in force under regulation 14A immediately before the commencement day.
(2) The permit has effect, on and after the commencement day, as if it were a permit granted under regulation 14B as mentioned in subregulation 14B(6).
18 Transitional provision—applications for permits under regulation 14A
(1) This regulation applies to an application for a permit under regulation 14A that was made before the commencement day and was not finally determined before the commencement day.
(2) On and after the commencement day, the application is taken to be (and may be dealt with as) an application for the grant of a permit under regulation 14B as mentioned in subregulation 14B(6).