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Autonomous Sanctions Regulations 2011

Authoritative Version
  • - F2012C00562
  • In force - Superseded Version
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SLI 2011 No. 247 Regulations as amended, taking into account amendments up to Autonomous Sanctions Amendment Regulation 2012 (No. 1)
These Regulations facilitate the conduct of Australia's relations with certain countries, and with specific entities or persons outside Australia, through the imposition of autonomous sanctions in relation to those countries, or targeting those entities or persons.
Administered by: Foreign Affairs and Trade
Registered 21 Aug 2012
Start Date 21 Aug 2012
End Date 26 Jul 2013
Table of contents.
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Collapse Part 1 Preliminary 
Part 1 Preliminary
1 Name of Regulations [see Note 1]
2 Commencement [see Note 1]
3 Definitions
Expand Part 2 Autonomous sanctions 
Part 2 Autonomous sanctions
Expand Part 3 Sanctions laws 
Part 3 Sanctions laws
Expand Part 4 Authorisations 
Part 4 Authorisations
Expand Part 5 Dealing with assets 
Part 5 Dealing with assets
Expand Part 6 Miscellaneous 
Part 6 Miscellaneous

Commonwealth Coat of Arms

Autonomous Sanctions Regulations 2011

Select Legislative Instrument 2011 No. 247 as amended

made under the

This compilation was prepared on 21 August 2012
taking into account amendments up to SLI 2012 No. 204

Prepared by the Office of Legislative Drafting and Publishing,
Attorney-General’s Department, Canberra


Contents

Part 1                          Preliminary                                                                 

                        1      Name of Regulations [see Note 1]                                    4

                        2      Commencement [see Note 1]                                           4

                        3      Definitions                                                                      4

Part 2                          Autonomous sanctions                                          

                        4      Sanctioned supply                                                        10

                      4A      Sanctioned imports                                                       12

                        5      Sanctioned service                                                        13

                      5A      Sanctioned commercial activity                                      15

                        6      Designation of persons or entities                                  19

                        7      Designating controlled assets                                        22

                        8      Sanctioned vessels                                                       22

                        9      Duration of designation under regulation 6, 7 or 8 or declaration under regulation 6    23

                       10      Revocation of designation under regulation 6, 7 or 8 or declaration under regulation 6           25

                       11      Application for revocation of designation under regulation 6, 7 or 8 or declaration under regulation 6                                                                   26

Part 3                          Sanctions laws                                                          

                       12      Prohibitions relating to a sanctioned supply                    27

                    12A      Prohibitions relating to sanctioned import                       27

                       13      Prohibitions relating to the provision of sanctioned services 28

                    13A      Prohibitions relating to engaging in sanctioned commercial activity   29

                       14      Prohibition of dealing with designated persons or entities 29

                       15      Prohibition of dealing with controlled assets                   30

                       16      Prohibitions relating to sanctioned vessels                     30

                       17      Forfeiture of sanctioned vessels                                    31

Part 4                          Authorisations                                                           

                       18      Minister may grant permits                                             33

                       19      Minister may waive operation of declaration under paragraph 6 (1) (b) or (2) (b)         33

                       20      Permit for assets and controlled assets                          34

Part 5                          Dealing with assets                                                  

                       21      Advance notice of listing of persons, entities and assets 37

                       22      Consolidated list of entities, persons and assets            37

                       23      Request to AFP for help                                                38

                       24      Informing AFP of opinion about asset                            39

                       25      Protection of information                                               39

Part 6                          Miscellaneous                                                           

                       26      Delegations by Minister                                                 41

Notes                                                                                                          42

 


Part 1                 Preliminary

  

1              Name of Regulations [see Note 1]

                These Regulations are the Autonomous Sanctions Regulations 2011.

2              Commencement [see Note 1]

                These Regulations commence on the day after they are registered.

3              Definitions

                In these Regulations:

Act means the Autonomous Sanctions Act 2011.

AFP means the Australian Federal Police.

arms or related matériel includes any of the following:

                (a)    weapons;

               (b)    ammunition;

                (c)    military vehicles and equipment;

               (d)    spare parts and accessories for the things mentioned in paragraphs (a) to (c);

                (e)    paramilitary equipment.

Australia Group Common Control Lists means the following lists, adopted by the Australia Group:

                (a)    Chemical Weapons Precursors;

               (b)    Dual‑use chemical manufacturing facilities and equipment and related technology and software;

                (c)    Dual‑use biological equipment and related technology and software;

               (d)    Biological agents;

                (e)    Plant pathogens;

                (f)    Animal pathogens.

Note   The Australia Group Common Control Lists are located at http://www.australiagroup.net.

authorised commercial activity means a sanctioned commercial activity authorised by a permit granted under paragraph 18 (1) (c).

authorised import means a sanctioned import authorised by a permit granted under paragraph 18 (1) (b).

authorised service means a sanctioned service authorised by a permit granted under regulation 18.

authorised supply means a sanctioned supply authorised by a permit granted under regulation 18.

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.

commencement day means the day on which these Regulations commence.

controlled asset means an asset owned or controlled by a designated person or entity.

correspondent banking relationship has the meaning
given in section 5 of the Anti‑Money Laundering and Counter‑Terrorism Financing Act 2006.

designated asset means a controlled asset to which a designation relates under regulation 7.

designated person or entity means a person or entity that has been designated under paragraph 6 (1) (a) or (2) (a).

Note   A person may also be declared under paragraph 6 (1) (b) or (2) (b) for the purpose of preventing the person from travelling to, entering or remaining in Australia.

DPRK means the Democratic People’s Republic of Korea.

export sanctioned goods means:

                (a)    the goods in the table in subregulation 4 (2); and

               (b)    goods designated under subregulation 4 (3).

FFRY means the former Federal Republic of Yugoslavia.

financial institution means a natural or legal person that conducts, as a business, one or more of the following for, or on behalf of, a customer:

                (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 issue and management of means of payment;

                (f)    the giving of financial guarantees and commitments;

               (g)    trading in money market instruments;

               (h)    trading foreign exchange;

                (i)    trading in exchange instruments;

                (j)    trading in interest rate instruments;

               (k)    trading in interest index instruments;

                (l)    trading in transferable securities;

              (m)    trading in commodity futures;

               (n)    participation in the issue of securities and the provision of financial services in relation to the issue of securities;

               (o)    the management of individual or collective portfolios;

               (p)    the safekeeping and administration of cash or liquid securities;

               (q)    the investment, administration or management of funds or money;

                (r)    the underwriting and placement of life insurance and other insurance that is related to investments;

                (s)    money changing and other currency changing.

Examples of means of payment for paragraph (e)

1   Credit and debit cards.

2   Cheques.

3   Travellers’ cheques.

4   Money orders.

5   Bankers’ drafts.

6   Electronic money.

financial service includes:

                (a)    an investment service; and

               (b)    a service providing financial advice; and

                (c)    a brokering service; and

               (d)    insurance; and

                (e)    reinsurance; and

                (f)    financial derivatives.

gold, precious metals and diamonds means the following items:

                (a)    diamonds, whether or not worked, but not mounted or set;

               (b)    silver (including silver plated with gold or platinum), unwrought or in semi-manufactured forms, or in powder form;

                (c)    gold (including gold plated with platinum), unwrought or in semi-manufactured forms, or in powder form;

               (d)    base metals or silver, clad with gold, not further worked than semi-manufactured;

                (e)    platinum, unwrought or in semi-manufactured forms, or in powder form;

                (f)    base metals, silver or gold, clad with platinum, not further worked than semi-manufactured;

               (g)    waste and scrap of:

                          (i)    precious metal; or

                         (ii)    metal clad with precious metal;

               (h)    other waste and scrap containing precious metal or precious-metal compounds, of a kind used principally for the recovery of precious metal.

ICTY means the International Criminal Tribunal for the former Yugoslavia.

immediate family member, of a person, means:

                (a)    a spouse of the person; or

               (b)    an adult child of the person; or

                (c)    a spouse of an adult child of the person; or

               (d)    a parent of the person; or

                (e)    a brother, sister, step‑brother or step‑sister of the person; or

                (f)    a spouse of a brother, sister, step‑brother or step‑sister of the person.

import sanctioned goods means goods designated under subregulation 4A (1).

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.

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).

petrochemical industry means production plants for the manufacturing of petrochemical products of a kind specified in an instrument under regulation 4A.

reinsurance means:

                (a)    the activity of accepting risks ceded by an insurance undertaking or by another reinsurance undertaking; or

               (b)    for the association of underwriters known as Lloyd’s—the activity of accepting risks, ceded by any member of Lloyd’s, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd’s.

sanctioned commercial activity has the meaning given by regulation 5A.

sanctioned import has the meaning given by regulation 4A.

sanctioned service has the meaning given by regulation 5.

sanctioned supply has the meaning given by regulation 4.

sanctioned vessel has the meaning given by regulation 8.

vessel means a vessel or boat of any description and includes a hovercraft and any floating structure, but does not include an installation.

Note   Other words and expressions used in these Regulations have the meaning given by section 4 of the Act, including:

·      asset

·      sanction law.

Part 2                 Autonomous sanctions

  

4              Sanctioned supply

         (1)   For these Regulations, 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 in relation to a country; and

                (c)    as a direct or indirect result of the supply, sale or transfer the goods are transferred:

                          (i)    to that country; or

                         (ii)    for use in that country; or

                        (iii)    for the benefit of that country.

         (2)   Goods mentioned in an item of the table are export sanctioned goods for the country mentioned in the item.

Item

Country

Goods

1

Burma

Arms or related matériel

2

Fiji

Arms or related matériel

3

Iran

   (a)  Arms or related matériel

  (b)  Goods mentioned in the Australia Group Common Control Lists, as existing from time to time

   (c)  Equipment and technology for the oil and gas industry, or the petrochemical industry, of a kind specified by the Minister in an instrument under this regulation

  (d)  Newly printed or unissued Iranian denominated bank notes or newly minted or unissued Iranian denominated coinage

4

Syria

   (a)  Arms or related matériel

  (b)  Equipment and technology, for use in the construction or installation of new power plants for electricity, of a kind specified by the Minister in an instrument under this regulation

 

 

   (c)  Equipment and technology for the oil and gas industry, or the petrochemical industry, of a kind specified by the Minister in an instrument under this regulation

  (d)  Newly printed or unissued Syrian denominated bank notes or newly minted or unissued Syrian denominated coinage

 

 

   (e)  Equipment, technology or software for the monitoring or interception of internet or telephone communications, of a kind specified by the Minister in an instrument under this regulation

   (f)  Luxury goods, of a kind specified by the Minister in an instrument under this regulation

5

Zimbabwe

Arms or related matériel

         (3)   In addition to subregulation (2), the Minister may, by legislative instrument, designate goods as export sanctioned goods for a country mentioned in the designation.

Example

Equipment or technology related to the oil and gas industry.

         (4)   For these Regulations, a person also makes a sanctioned supply if the person supplies, sells or transfers an item of gold, precious metals and diamonds to another person and, as a direct or indirect result of the supply, sale or transfer, the goods are transferred to:

                (a)    the government of Iran; or

               (b)    a public body, corporation or agency of the government of Iran; or

                (c)    the government of Syria; or

               (d)    a public body, corporation or agency of the government of Syria; or

                (e)    a person entity or body acting on behalf or at the direction of an entity mentioned in paragraphs (a) to (d); or

                (f)    an entity or body owned or controlled by an entity mentioned in paragraphs (a) to (d).

4A           Sanctioned imports

         (1)   For these Regulations, a person makes a sanctioned import if:

                (a)    the person:

                          (i)    imports or purchases goods from another person; or

                         (ii)    transports goods; and

               (b)    the goods are import sanctioned goods for a country.

         (2)   Goods mentioned in an item of the table are import sanctioned goods for the country mentioned in the item if the goods originate in, or are exported from, the country.

Item

Country

Goods

1

Iran

   (a)  Crude oil products of a kind specified by the Minister in an instrument under this regulation

  (b)  Petroleum products of a kind specified by the Minister in an instrument under this regulation

   (c)  Petrochemical products of a kind specified by the Minister in an instrument under this regulation

2

Syria

   (a)  Crude oil products of a kind specified by the Minister in an instrument under this regulation

  (b)  Petroleum products of a kind specified by the Minister in an instrument under this regulation

   (c)  Petrochemical products of a kind specified by the Minister in an instrument under this regulation

         (3)   In addition to subregulation (2), the Minister may, by legislative instrument, designate goods as import sanctioned goods for a country mentioned in the designation.

         (4)   For these Regulations, a person also makes a sanctioned import if the person imports or purchases an item of gold, precious metals and diamonds from:

                (a)    the government of Iran; or

               (b)    a public body, corporation or agency of the government of Iran; or

                (c)    the government of Syria; or

               (d)    a public body, corporation or agency of the government of Syria; or

                (e)    a person entity or body acting on behalf or at the direction of an entity mentioned in paragraphs (a) to (d); or

                (f)    an entity or body owned or controlled by an entity mentioned in paragraphs (a) to (d).

5              Sanctioned service

         (1)   For these Regulations, a sanctioned service, for a country mentioned in an item of the table, is the provision to a person of:

                (a)    technical advice, assistance or training; or

               (b)    financial assistance; or

                (c)    a financial service; or

               (d)    another service;

if it assists with, or is provided in relation to, an activity mentioned in the item.

Item

Country

Activity

1

Burma

   (a)  A military activity

  (b)  A sanctioned supply for Burma

   (c)  The manufacture, maintenance or use of an export sanctioned good for Burma

2

Fiji

   (a)  A military activity

  (b)  A sanctioned supply for Fiji

   (c)  The manufacture, maintenance or use of an export sanctioned good for Fiji

3

Iran

   (a)  A military activity

  (b)  A sanctioned supply for Iran

   (c)  The manufacture, maintenance or use of an export sanctioned good for Iran

  (d)  For paragraphs 5 (1) (b) and (c), a sanctioned import for Iran

4

Syria

   (a)  A military activity

  (b)  A sanctioned supply for Syria

   (c)  The manufacture, maintenance or use of an export sanctioned good for Syria

  (d)  For paragraphs 5 (1) (b) and (c), a sanctioned import for Syria

5

Zimbabwe

   (a)  A military activity

  (b)  A sanctioned supply for Zimbabwe

   (c)  The manufacture, maintenance or use of an export sanctioned good for Zimbabwe

         (2)   For these Regulations, a sanctioned service is also, for an entity or person mentioned in an item of the table, the provision to the entity or person of:

                (a)    technical advice, assistance or training; or

               (b)    financial assistance; or

                (c)    a financial service; or

               (d)    another service;

if it assists with, or is provided in relation to, an activity involving the supply, sale, transfer, import, purchase or transport of an item of gold, precious metals and diamonds.

Item

Entity or person

1

The government of Iran

2

A public body, corporation, or agency of the government of Iran

3

The government of Syria

4

A public body, corporation, or agency of the government of Syria

5

A person, entity or body acting on behalf or at the direction of an entity mentioned in items 1 to 4

6

An entity or body owned or controlled by an entity mentioned in items 1 to 5

5A           Sanctioned commercial activity

         (1)   For these Regulations, sanctioned commercial activity means:

                (a)    the acquisition by a person of an interest in an entity or a person mentioned in an item of the table; and

               (b)    the extension by a person of an interest in an entity or a person mentioned in an item of the table; and

                (c)    the establishment by a person of a joint venture with an entity or a person mentioned in an item of the table; and

               (d)    participation by a person in a joint venture with an entity or a person mentioned in an item of the table (including a subsidiary of that entity or person); and

                (e)    the granting by a person of a financial loan or credit to an entity or a person mentioned in an item of the table.

Item

Entity or person

1

An entity in Iran that is engaged in:

   (a)  the Iranian petrochemical industry; or

  (b)  any of the following sectors of the Iranian oil and gas industry:

         (i)   refining of fuels;

        (ii)   exploration of crude oil or natural gas;

       (iii)   production of crude oil or natural gas;

       (iv)   liquefaction of natural gas

2

An Iranian entity engaged in a sector mentioned in item 1 outside Iran

3

An Iranian-owned entity engaged in a sector mentioned in item 1 outside Iran

4

An entity in Syria that is engaged in:

   (a)  the Syrian petrochemical industry; or

  (b)  any of the following sectors of the Syrian oil and gas industry:

         (i)   refining of fuels;

        (ii)   exploration of crude oil or natural gas;

       (iii)   production crude oil or natural gas;

       (iv)   liquefaction of natural gas

5

A Syrian entity engaged in a sector mentioned in item 4 outside Syria

6

A Syrian-owned entity engaged in a sector mentioned in item 4 outside Syria

7

An entity in Syria engaged in the construction or installation of new power plants for electricity production

         (2)   For these Regulations, sanctioned commercial activity also means:

                (a)    the sale by a person, to an entity or a person mentioned in an item of the table, of an interest in a commercial activity in Australia in any of the following sectors of the oil and gas industry:

                          (i)    refining of fuels;

                         (ii)    exploration of crude oil and natural gas;

                        (iii)    production of crude oil and natural gas;

                        (iv)    liquefaction of natural gas; and

               (b)    the making available by a person (otherwise than by sale), to an entity or a person mentioned in an item of the table, of an interest in a commercial activity in Australia in any of the following sectors of the oil and gas industry:

                          (i)    refining of fuels;

                         (ii)    exploration of crude oil and natural gas;

                        (iii)    production of crude oil and natural gas;

                        (iv)    liquefaction of natural gas.

Item

Entity or person

1

The government of Iran

2

Any natural person in, or resident in, Iran

3

An entity formed or incorporated in Iran

4

The government of Syria

5

Any natural person in, or resident in, Syria

6

An entity formed or incorporated in Syria

7

An entity or person acting on behalf of an entity or a person mentioned in items 1 to 6

8

An entity or person acting at the direction of an entity or a person mentioned in items 1 to 6

9

An entity owned or controlled by a person or entity mentioned in items 1 to 6

         (3)   For these Regulations, sanctioned commercial activity also means:

                (a)    the opening in Australia of a representative office of an entity or person mentioned in an item of the table; and

               (b)    the establishment in Australia of a branch or subsidiary of an entity or person mentioned in an item of the table; and

                (c)    the conclusion by a person of an agreement, for or on behalf of an entity or person mentioned in an item of the 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; and

               (d)    the acquisition or extension of an interest in an Australian financial institution by an entity or person mentioned in an item of the table; and

                (e)    the sale by a person of an interest in an Australian financial institution to an entity or person mentioned in an item of the table; and

                (f)    the making available by a person (other than by sale) of an interest in an Australian financial institution to an entity or person mentioned in an item of the table.

Item

Entity or person

1

A financial institution domiciled in Iran

2

A branch or a subsidiary, wherever located, of a financial institution domiciled in Iran

3

A financial institution, wherever domiciled, that is controlled by an entity or a person domiciled in Iran

4

A financial institution domiciled in Syria

5

A branch or a subsidiary, wherever located, of a financial institution domiciled in Syria

6

A financial institution, wherever domiciled, that is controlled by an entity or a  person domiciled in Syria

         (4)   For 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 table; and

               (b)    the establishment by a financial institution of a correspondent banking relationship with an entity or person mentioned in an item of the table; and

                (c)    the opening by a financial institution of a representative office in Iran or Syria; and

               (d)    the establishment by a financial institution of a branch or subsidiary in Iran or Syria; and

                (e)    the opening by a financial institution of a bank account with an entity or person mentioned in an item of the table.

Item

Entity or person

1

A financial institution domiciled in Iran

2

A branch or a subsidiary, wherever located, of a financial institution domiciled in Iran

3

A financial institution, wherever domiciled, that is controlled by a person or entity domiciled in Iran

4

A financial institution domiciled in Syria

5

A branch or a subsidiary, wherever located, of a financial institution domiciled in Syria

6

A financial institution, wherever domiciled, that is controlled by a person or entity domiciled in Syria

6              Designation of persons or entities

         (1)   For paragraph 10 (1) (a) of the Act, the Minister may, by legislative instrument, do either or both of the following:

                (a)    designate a person or entity mentioned in an item of the table as a designated person or entity for the country mentioned in the item;

               (b)    declare a person mentioned in an item of the table for the purpose of preventing the person from travelling to, entering or remaining in Australia.

Item

Country

Person or entity

1

Burma

   (a)  A former member of the State Peace and Development Council (SPDC)

 

 

  (b)  A person who the Minister is satisfied is a business associate of the Burmese military

 

 

   (c)  A current or former minister or a current or former deputy minister

 

 

  (d)  A current or former military officer of the rank of Brigadier‑General or higher

 

 

   (e)  A senior official in any of Burma’s security or corrections agencies

 

 

   (f)  A current or former senior officeholder of the Union Solidarity and Development Party (USDP) or the Union Solidarity and Development Association (USDA)

 

 

   (g)  A senior official or executive in a state‑owned or a military‑owned enterprise

 

 

  (h)  An immediate family member of a person mentioned in any of paragraphs (a) to (g)

2

DPRK

A person or entity that the Minister is satisfied is associated with the DPRK’s weapons of mass‑destruction program or missiles program

3

FFRY

   (a)  A person who has been indicted for an offence by the ICTY (whether or not the person has been convicted of the offence)

 

 

  (b)  A person who has been indicted for an offence within the jurisdiction of the ICTY by a domestic court in Bosnia‑Herzegovina, Croatia or Serbia (whether or not the person has been convicted of the offence)

 

 

   (c)  A person who is subject to an Interpol arrest warrant related to an offence within the jurisdiction of the ICTY

 

 

  (d)  A person who the Minister is satisfied is a supporter of the former regime of Slobodan Milosevic

 

 

   (e)  A person who is suspected of assisting a person who is:

         (i)   indicted by the ICTY; and

        (ii)   not currently detained by the ICTY

4

Fiji

   (a)  Commodore Josaia Voreqe Bainimarama

 

 

  (b)  A person who the Minister is satisfied is a supporter of the coup with which Commodore Bainimarama is associated, based on any combination of the person’s position, actions and statements

 

 

   (c)  A Minister of the interim government

 

 

  (d)  An officer of the Republic of Fiji Military Forces of the rank of Warrant Officer or higher

 

 

   (e)  An immediate family member of a person mentioned in paragraph (a), (b), (c) or (d)

 

 

   (f)  A member of the Republic of Fiji Military Forces

 

 

   (g)  A person who the Minister is satisfied is a senior public servant appointed by the interim government

 

 

  (h)  A person appointed to, or otherwise engaged on, a government board or a quasi‑government board by the interim government

 

 

   (i)  A member of the judiciary of Fiji

5

Iran

   (a)  A person or entity that the Minister is satisfied has contributed to, or is contributing to, Iran’s nuclear or missile programs

 

 

  (b)  A person or entity that the Minister is satisfied has assisted, or is assisting, Iran to violate:

         (i)   Resolution 1737, 1747, 1803 or 1929 of the United Nations Security Council; or

        (ii)   a subsequent resolution relevant to a resolution mentioned in subparagraph (i)

6

Libya

   (a)  A person who the Minister is satisfied was a close associate of the former Qadhafi regime

  (b)  An entity that the Minister is satisfied is under the control of one or more members of Muammar Qadhafi’s family

 

 

   (c)  A person or entity that the Minister is satisfied has assisted, or is assisting, in the violation of:

         (i)   Resolution 1970 or 1973 of the United Nations Security Council; or

 

 

        (ii)   a subsequent resolution relevant to Resolution 1970 or 1973

  (d)  An immediate family member of a person mentioned in paragraph (a) or (c)

7

Syria

   (a)  A person or entity that the Minister is satisfied is providing support to the Syrian regime

  (b)  A person or entity that the Minister is satisfied is responsible for human rights abuses in Syria, including:

         (i)   the use of violence against civilians; and

        (ii)   the commission of other abuses

8

Zimbabwe

A person or entity that the Minister is satisfied is engaged in, or has engaged in, activities that seriously undermine democracy, respect for human rights and the rule of law in Zimbabwe

         (2)   For paragraph 10 (1) (a) of the Act, the Minister may, by legislative instrument, do either or both of the following:

                (a)    designate a person or entity as a designated person or entity if the Minister is satisfied that the person or entity is contributing to the proliferation of weapons of mass destruction;

               (b)    declare a person for the purpose of preventing the person from travelling to, entering or remaining in Australia if the Minister is satisfied that the person is contributing to the proliferation of weapons of mass destruction.

7              Designating controlled assets

                For paragraph 10 (1) (b) of the Act, the Minister may, by legislative instrument, designate a controlled asset as a designated asset.

8              Sanctioned vessels

Designation of vessels

         (1)   For paragraph 10 (1) (b) of the Act, the Minister may, by legislative instrument:

                (a)    designate a vessel as a sanctioned vessel for a country mentioned in the designation; or

               (b)    designate each vessel in a class of vessels as a sanctioned vessel for a country mentioned in the designation.

         (2)   A vessel is not required to be owned, registered or flagged by the country mentioned in the designation.

         (3)   A sanctioned vessel does not cease to be a sanctioned vessel solely because:

                (a)    its name is changed; or

               (b)    the flag under which it is operated changes; or

                (c)    its registration is changed.

Directions to sanctioned vessels

         (4)   The Minister may direct a sanctioned vessel to:

                (a)    leave Australia, including by a particular route; or

               (b)    not enter a particular port or place, or any port or place, in Australia.

         (5)   Before giving the direction, the Minister must have regard to Australia’s obligations at international law.

         (6)   A direction given under subregulation (4) in writing is not a legislative instrument.

9              Duration of designation under regulation 6, 7 or 8 or declaration under regulation 6

         (1)   A designation made under paragraph 6 (1) (a) or (2) (a), regulation 7 or paragraph 8 (1) (a) or (b) ceases to have effect on:

                (a)    if no declaration under subregulation (3) has been made in relation to the designation — the third anniversary of the day on which the designation took effect; or

               (b)    otherwise — the third anniversary of the making of the most recent declaration under subregulation (3) in relation to the designation.

         (2)   A declaration made under paragraph 6 (1) (b) or (2) (b) ceases to have effect on:

                (a)    if no declaration under subregulation (3) has been made in relation to the declaration — the third anniversary of the day on which the declaration took effect; or

               (b)    otherwise — the third anniversary of the making of the most recent declaration under subregulation (3) in relation to the declaration.

         (3)   The Minister may, by legislative instrument, declare that a designation or declaration specified in the instrument continues to have effect.

         (4)   The Minister must not:

                (a)    make a declaration under subregulation (3) in relation to a designation made under paragraph 6 (1) (a) unless the Minister is satisfied that the person or entity to which the designation relates is mentioned in an item of the table in subregulation 6 (1); or

               (b)    make a declaration under subregulation (3) in relation to a designation made under paragraph 6 (2) (a) unless the Minister is satisfied that the person or entity to which the designation relates is contributing to the proliferation of weapons of mass destruction; or

                (c)    make a declaration under subregulation (3) in relation to a designation made under regulation 7 unless the Minister is satisfied on reasonable grounds that the asset to which the designation relates is a controlled asset.

         (5)   To avoid doubt:

                (a)    subregulation (1) does not prevent the revocation, under regulation 10, of a designation; and

               (b)    subregulation (1) does not prevent the making, under paragraph 6 (1) (a) or (2) (a), regulation 7 or paragraph 8 (1) (a) or (b), of a new designation that is the same in substance as another designation (whether the new designation is made or takes effect before or after the other designation ceases to have effect because of subregulation (1)); and

                (c)    subregulation (2) does not prevent the revocation, under regulation 10, of a declaration; and

               (d)    subregulation (2) does not prevent the making, under paragraph 6 (1) (b) or (2) (b), of a new declaration that is the same in substance as another declaration (whether the new declaration is made or takes effect before or after the other declaration ceases to have effect because of subregulation (2)).

10            Revocation of designation under regulation 6, 7 or 8 or declaration under regulation 6

         (1)   The Minister may, by legislative instrument, revoke:

                (a)    a designation made under paragraph 6 (1) (a) or (2) (a), regulation 7 or paragraph 8 (1) (a) or (b); or

               (b)    a declaration made under paragraph 6 (1) (b) or (2) (b).

         (2)   The Minister may revoke a designation or declaration on the Minister’s initiative.

         (3)   The Minister may also revoke:

                (a)    a designation made under paragraph 6 (1) (a) or (2) (a); or

               (b)    a declaration made under paragraph 6 (1) (b) or (2) (b);

on application by the designated person or entity to which the designation relates.

Note   See regulation 11.

         (4)   The Minister may also revoke a designation made under regulation 7 on application by the designated person or entity that owns or controls the designated asset to which the designation relates.

Note   See regulation 11.

         (5)   The Minister may also revoke a designation made under paragraph 8 (1) (a) or (b) on application by:

                (a)    the owner of the sanctioned vessel to which the designation relates; or

               (b)    the person who controls the sanctioned vessel to which the designation relates.

Note   See regulation 11.

11            Application for revocation of designation under regulation 6, 7 or 8 or declaration under regulation 6

         (1)   For regulation 10:

                (a)    a designated person or entity may apply to the Minister to revoke the designation of the person or entity; and

               (b)    a person who has been declared under paragraph 6 (1) (b) or (2) (b) may apply to the Minister to revoke the declaration of the person; and

                (c)    a person or entity that owns or controls a designated asset may apply to the Minister to revoke the designation of the asset; and

               (d)    the owner of a sanctioned vessel may apply to the Minister to revoke the designation of the vessel; and

                (e)    a person who controls a sanctioned vessel may apply to the Minister to revoke the designation of the vessel.

         (2)   The application must:

                (a)    be in writing; and

               (b)    set out the circumstances relied upon to justify the application.

         (3)   The Minister is not required to consider an application (the current application) by a person or entity under this regulation if the person or entity has made an application under this regulation within one year before the current application.

Part 3                 Sanctions laws

  

12            Prohibitions relating to a sanctioned supply

         (1)   A person contravenes this regulation if:

                (a)    the person makes a sanctioned supply; and

               (b)    the sanctioned supply is not an authorised supply.

         (2)   Section 15.1 of the Criminal Code applies to an offence under section 16 of the Act that relates to a contravention of this regulation.

Note   This has the effect that the offence has extraterritorial operation.

         (3)   A person, whether or not in Australia, and whether or not an Australian citizen, contravenes this regulation if 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 that is not an authorised supply.

         (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 makes a sanctioned supply; and

                (c)    the sanctioned supply is not an authorised supply.

Note   This regulation may be specified as a sanction law by the Minister under section 6 of the Act.

12A         Prohibitions relating to sanctioned import

         (1)   A person contravenes this regulation if:

                (a)    the person makes a sanctioned import; and

               (b)    the sanctioned import is not an authorised import.

         (2)   Section 15.1 of the Criminal Code applies to an offence under section 16 of the Act that relates to a contravention of this regulation.

Note   This has the effect that the offence has extraterritorial operation.

         (3)   A person, whether or not in Australia, and whether or not an Australian citizen, contravenes this regulation if 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, making a sanctioned import that is not an authorised import.

         (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 makes a sanctioned import; and

                (c)    the sanctioned import is not an authorised import.

Note   This regulation may be specified as a sanction law by the Minister under section 6 of the Act.

13            Prohibitions relating to the provision of sanctioned services

         (1)   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.

         (2)   Section 15.1 of the Criminal Code applies to an offence under section 16 of the Act that relates to a contravention of this regulation.

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 provides a sanctioned service; 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 may be specified as a sanction law by the Minister under section 6 of the Act.

13A         Prohibitions relating to engaging in sanctioned commercial activity

         (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.

         (2)   Section 15.1 of the Criminal Code applies to an offence under section 16 of the Act that relates to a contravention of this regulation.

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 engages in a sanctioned commercial activity; and

                (c)    the sanctioned commercial activity is not an authorised commercial activity.

Note   This regulation may be specified as a sanction law under the Autonomous Sanctions (Sanction Law) Declaration 2012.

14            Prohibition of dealing with designated persons or entities

         (1)   A person contravenes this regulation if:

                (a)    the person directly or indirectly makes an asset available to, or for the benefit of, a designated person or entity; and

               (b)    the making available of the asset is not authorised by a permit granted under regulation 18.

         (2)   Section 15.1 of the Criminal Code applies to an offence under section 16 of the Act that relates to a contravention of this regulation.

Note 1   This has the effect that the offence has extraterritorial operation.

Note 2   This regulation may be specified as a sanction law by the Minister under section 6 of the Act.

15            Prohibition of dealing with controlled assets

         (1)   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 granted under regulation 18.

         (2)   Section 15.1 of the Criminal Code applies to an offence under section 16 of the Act that relates to a contravention of this regulation.

Note 1   This has the effect that the offence has extraterritorial operation.

Note 2   This regulation may be specified as a sanction law by the Minister under section 6 of the Act.

16            Prohibitions relating to sanctioned vessels

         (1)   A person contravenes this regulation if:

                (a)    a direction is given to a sanctioned vessel under subregulation 8 (4); and

               (b)    the person engages in conduct; and

                (c)    the conduct causes the sanctioned vessel to contravene the direction.

         (2)   Section 15.1 of the Criminal Code applies to an offence under section 16 of the Act that relates to a contravention of this regulation.

Note 1   This has the effect that the offence has extraterritorial operation.

Note 2   This regulation may be specified as a sanction law by the Minister under section 6 of the Act.

Exception — safety of vessel or human life

         (3)   Subregulation (1) does not apply if the person is engaging in conduct necessary to secure the safety of the sanctioned vessel or human life.

Note   A defendant bears an evidential burden in relation to the matters in subregulation (3) (see subsection 13.3 (3) of the Criminal Code).

Exception — authorisation or requirement under Part IIIAAA of the Defence Act 1903

         (4)   Subregulation (1) does not apply if the operation of the sanctioned vessel or the conduct of the person is authorised or required under Part IIIAAA of the Defence Act 1903.

Note   A defendant bears an evidential burden in relation to the matters in subregulation  (4) (see subsection 13.3 (3) of the Criminal Code).

         (5)   It is not a defence to a prosecution for an offence against subregulation (1) that the operation of the sanctioned vessel or the conduct of the person is authorised or required under any other law.

17            Forfeiture of sanctioned vessels

         (1)   A sanctioned vessel is forfeited to the Commonwealth if:

                (a)    a direction is given to the sanctioned vessel under subregulation 8 (4); and

               (b)    the sanctioned vessel contravenes the direction.

Exception — safety of vessel or human life

         (2)   Subregulation (1) does not apply if the contravention is necessary to secure the safety of the sanctioned vessel or human life.

Exception — authorisation or requirement under Part IIIAAA of the Defence Act 1903

         (3)   Subregulation (1) does not apply if the contravention is authorised or required under Part IIIAAA of the Defence Act 1903.

Part 4                 Authorisations

  

18            Minister may grant permits

         (1)   The Minister may grant to a person a permit authorising:

                (a)    the making of a sanctioned supply; or

               (b)    the making of a sanctioned import; or

                (c)    engaging in a sanctioned commercial activity; or

               (d)    the provision of a sanctioned service; or

                (e)    the making available of an asset to a person or entity that would otherwise contravene regulation 14; or

                (f)    a use of, or a dealing with, a controlled asset.

Note   Section 15 of the Act applies to a permit granted by the Minister under this subregulation.

         (2)   The Minister may grant a permit:

                (a)    on the Minister’s initiative; or

               (b)    on application by a person.

         (3)   The Minister must not grant a permit unless the Minister is satisfied:

                (a)    that it would be in the national interest to grant the permit; and

               (b)    about any circumstance or matter required by this Part to be considered for a particular kind of permit.

         (4)   A permit may be granted subject to conditions specified in the permit.

19            Minister may waive operation of declaration under paragraph 6 (1) (b) or (2) (b)

         (1)   This regulation applies if:

                (a)    the Minister has declared a person under paragraph 6 (1) (b) or (2) (b) for the purpose of preventing the person from travelling to, entering or remaining in Australia; and

               (b)    the person:

                          (i)    holds a visa under the Migration Act 1958; or

                         (ii)    had applied under that Act for the grant of a visa before the declaration, and the application had not been finally determined (within the meaning of that Act) before the declaration; or

                        (iii)    applies under that Act for the grant of a visa after the declaration.

         (2)   The Minister may, in writing, waive the operation of the declaration to the extent that it would have the effect of preventing the person from travelling to, entering or remaining in Australia as would be permitted by the visa.

         (3)   The Minister may waive the operation of the declaration only:

                (a)    on the grounds that it would be in the national interest; or

               (b)    on humanitarian grounds.

         (4)   The Minister may waive the operation of the declaration subject to conditions specified in the waiver.

         (5)   A waiver has effect:

                (a)    for the period (if any) specified by the Minister in the waiver; or

               (b)    in the circumstances (if any) specified by the Minister in the waiver.

         (6)   The waiver ceases to have effect if:

                (a)    the person fails to comply with a condition to which it is subject; or

               (b)    the period (if any) for which it has effect ends; or

                (c)    the circumstances in which it has effect cease to exist.

20            Permit for assets and controlled assets

         (1)   An application for a permit authorising the making available of an asset to a person or entity that would otherwise contravene regulation 14 must be for:

                (a)    a basic expense dealing; or

               (b)    a legally required dealing; or

                (c)    a contractual dealing.

Note   See paragraph 18 (1) (e).

         (2)   An application for a permit authorising a use of, or a dealing with, a controlled asset must be for:

                (a)    a basic expense dealing; or

               (b)    a legally required dealing; or

                (c)    a contractual dealing.

Note   See paragraph 18 (1) (f).

         (3)   A dealing is a basic expense dealing if:

                (a)    it is constituted by:

                          (i)    a payment to a designated person or entity; or

                         (ii)    a payment to a person or entity acting on behalf of, or at the direction of, a designated person or entity; or

                        (iii)    a payment to an entity owned or controlled by a designated person or entity; or

                        (iv)    a use or dealing with a controlled asset; and

               (b)    the dealing is necessary for basic expenses, including any of the following:

                          (i)    foodstuffs;

                         (ii)    rent or mortgage;

                        (iii)    medicines or medical treatment;

                        (iv)    taxes;

                         (v)    insurance premiums;

                        (vi)    public utility charges;

                       (vii)    reasonable professional fees;

                      (viii)    reimbursement of expenses associated with the provision of legal services;

                        (ix)    fees or service charges that are in accordance with a law in force in Australia for the routine holding or maintenance of frozen assets.

         (4)   A dealing is a legally required dealing if:

                (a)    it is constituted by:

                          (i)    a payment to a designated person or entity; or

                         (ii)    a payment to a person or entity acting on behalf of, or at the direction of, a designated person or entity; or

                        (iii)    a payment to an entity owned or controlled by a designated person or entity; or

                        (iv)    a use or dealing with a controlled asset; and

               (b)    the dealing is necessary to satisfy a judicial, administrative or arbitral lien or judgement that was made prior to the date on which the person or entity became a designated person or entity; and

                (c)    the dealing is not for the benefit of a designated person or entity.

         (5)   A dealing is a contractual dealing if:

                (a)    it is constituted by:

                          (i)    a payment to a designated person or entity; or

                         (ii)    a payment to a person or entity acting on behalf of, or at the direction of, a designated person or entity; or

                        (iii)    a payment to an entity owned or controlled by a designated person or entity; or

                        (iv)    a use or dealing with a controlled asset; and

               (b)    the dealing is a payment:

                          (i)    to apply interest or other earnings due on accounts holding controlled assets; or

                         (ii)    required under contracts, agreements or obligations made before the date on which those accounts became accounts holding controlled assets.

Note   If the account into which the payment is paid is frozen under Sanctions Regulations, this payment will also be frozen once received.

Part 5                 Dealing with assets

  

21            Advance notice of listing of persons, entities and assets

         (1)   The Department may give notice of a designation made under paragraph 6 (1) (a) or (2) (a) or regulation 7 to any person who is engaged in the business of holding, dealing in, or facilitating dealing in, assets.

         (2)   The Department may give the notice before the designation is published.

22            Consolidated list of entities, persons and assets

         (1)   The Department must maintain a document that sets out:

                (a)    all persons and entities that are currently designated persons or entities; and

               (b)    all assets or classes of assets currently designated under regulation 8.

         (2)   The document must contain the following information about a designated person or entity:

                (a)    the name of the person, including any alias for the person known to the Department;

               (b)    the name of the entity, and any registration or incorporation number or name that will facilitate the identification of the entity;

                (c)    the date on which the person or entity was designated.

         (3)   The document must contain the following information about a designated asset:

                (a)    a description of the asset or class of assets;

               (b)    the name of the designated person or entity that, owns or controls the asset;

                (c)    the date on which the asset was designated under regulation 7.

         (4)   The document must be made available to the public on the Department’s website.

         (5)   The document may be consolidated with the document mentioned in regulation 40 of the Charter of the United Nations (Dealing with Assets) Regulations 2008.

23            Request to AFP for help

         (1)   A person who holds an asset that the person suspects is, or may be, a controlled asset may request the AFP to help the person determine whether or not the asset is owned or controlled by a designated person or entity.

         (2)   The request must be accompanied by:

                (a)    details of the asset; and

               (b)    as much information about the asset (including information about the owner or controller of the asset) as is known to the person making the request.

         (3)   The AFP must use its best endeavours to help a person who has made a request under subregulation (1).

         (4)   As soon as practicable after receiving a request under subregulation (1), the AFP must respond in writing.

         (5)   The response must state whether the AFP considers that:

                (a)    it is likely that the asset is owned or controlled by a designated person or entity; or

               (b)    it is unlikely that the asset is owned or controlled by a designated person or entity; or

                (c)    it is unknown whether the asset is owned or controlled by a designated person or entity.

Note   These Regulations do not limit the obligation of:

(a)   a cash dealer under section 16 of the Financial Transaction Reports Act 1988 to report a suspicious transaction; or

(b)   a reporting entity under the Anti‑Money Laundering and Counter‑Terrorism Financing Act 2006.

24            Informing AFP of opinion about asset

         (1)   This regulation sets out what a person who is holding an asset must do if the person forms an opinion (a notifiable opinion) that:

                (a)    the asset is a controlled asset; or

               (b)    the asset, having been a controlled asset, or having been previously treated by the person as a controlled asset, is not, or is no longer, a controlled asset.

         (2)   Paragraph (1) (b) does not apply if:

                (a)    the asset has been removed from the document mentioned in regulation 22; or

               (b)    all designated persons and entities associated with the asset have been removed from the document.

         (3)   As soon as practicable after a person forms a notifiable opinion, the person must inform the AFP of:

                (a)    the asset about which the opinion was formed; and

               (b)    as much information about the asset (including information about the owner or controller of the asset) as is known to the person; and

                (c)    the reasons for the opinion.

25            Protection of information

         (1)   This regulation applies to a person who, at the time that something is done under the Act or these Regulations (a relevant action), is:

                (a)    the Minister; or

               (b)    the Secretary of the Department; or

                (c)    an APS employee; or

               (d)    an AFP employee, or a member of the Australian Federal Police, within the meaning of the Australian Federal Police Act 1979; or

                (e)    a person who holds a controlled asset or an asset that the person suspects may be a controlled asset; or

                (f)    a person employed by a person mentioned in paragraph (e).

         (2)   A person to whom this regulation applies is not required:

                (a)    to produce in a court any document that has come into the custody or control of the person in the course of, or because of, the relevant action; or

               (b)    to divulge or communicate to a court any matter or thing that has come to the notice of the person in the course of, or because of, the relevant action;

unless it is necessary to do so to comply with the Act or these Regulations.

Part 6                 Miscellaneous

  

26            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.


Notes to the Autonomous Sanctions Regulations 2011

Note 1

The Autonomous Sanctions Regulations 2011 (in force under the Autonomous Sanctions Act 2011) as shown in this compilation comprise Select Legislative Instrument 2011 No. 247 amended as indicated in the Tables below.

Table of Instruments

Year and
Number

Date of FRLI registration

Date of
commencement

Application, saving or
transitional provisions

2011 No. 247

14 Dec 2011 (see F2011L02673)

15 Dec 2011

 

2012 No. 204

20 Aug 2012 (see F2012L01707)

21 Aug 2012

Table of Amendments

ad. = added or inserted      am. = amended      rep. = repealed      rs. = repealed and substituted

Provision affected

How affected

Part 1

 

R. 3.........................................

am. 2012 No. 204

Part 2

 

R. 4.........................................

am. 2012 No. 204

R. 4A.......................................

ad. 2012 No. 204

R. 5.........................................

rs. 2012 No. 204

R. 5A.......................................

ad. 2012 No. 204

R. 6.........................................

am. 2012 No. 204

Part 3

 

R. 12A....................................

ad. 2012 No. 204

R. 13A....................................

ad. 2012 No. 204

Part 4

 

R. 18.......................................

am. 2012 No. 204

Note to r. 20 (1)....................

rs. 2012 No. 204

Note to r. 20 (2)....................

rs. 2012 No. 204