ANTI-TERRORISM ACT: SUBSIDIARY LEGISLATION

(l) any other United Nations Security Council Resolution that may be issued concerning the designation, asset freezing, arms embargo and travel ban in respect of a designated person or entity in relation to the application of measures for the combatting of terrorism, terrorism financing, proliferation and proliferation financing;

"Authorised officer" has the meaning assigned to the word in the Act;

"Centre" has the meaning assigned to the word in the Act;

"designated person or entity" means any person, group, undertaking or organisation designated in the United Nations Sanctions List by or under the authority of the Security Council as being subject to United Nations sanctions and "designation" shall be construed accordingly;

"designation" means the addition of a designated person or entity to the targeted sanctions list pursuant to the applicable resolutions, the Act, or these Regulations and "designated" shall be construed accordingly;

"document" includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form with or without the aid of anything else;

"economic resources" means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds but can be used to obtain funds, goods or services;

"entity" means a group, organisation, firm, unincorporated body of persons or any other legal arrangement;

"financial benefit" includes the discharge of a financial obligation for which the designated person or entity, country or nationally listed person or entity is wholly or partly liable;

"financial services" means services of a financial nature, including—

(a) insurance and pensions related services consisting of—

(i) direct insurance other than life assurance;

(ii) reinsurance and retrogression;

(iii) insurance intermediation, such as brokerage and agency;

(iv) services auxiliary to insurance, such as consultancy, actuarial, risk assessment and claim settlement services; or

(v) Pension Fund Management;

(b) banking and other financial services consisting of—

(i) accepting deposits and other repayable funds;

(ii) lending, including consumer credit, mortgage credit, factoring, financing of commercial transactions and credit referencing;

(iii) financial leasing;

(iv) payment and money transmission services, including credit, charge and debit cards, travellers’ cheques and bankers’ drafts;

(v) providing guarantees or commitments;

(vi) financial trading;

(vii) participating in issues of any kind of securities, including underwriting and placement as an agent, whether publicly or privately and providing service related to such issues;

(viii) money brokering or foreign exchange purchase and sale;

(ix) asset management, including case or portfolio management, all forms of collective investment management, custodial, depository and trust services;

(x) settlement and clearing services for financial assets including securities, derivative products and other negotiable instruments;

(xi) providing or transferring financial information, and financial data processing or related software by suppliers of other financial services; or

(xii) providing advisory and other auxiliary financial services, including credit reference and analysis, investment and portfolio research and advice, advice on acquisitions and on corporate restructuring and strategy;

"financial trading" means trading for a person’s, group of persons’ or entity’s own account or for the account of customers, whether on an investment exchange, in an over the counter market or otherwise, in—

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

(b) foreign exchange;

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

(e) transferable securities;

(f) other negotiable instruments; and

(g) financial assets including bullion;

"freeze" means the prohibition of the use, transfer, conversion, disposition or movement of any funds, economic resources, property or other assets that are owned or controlled by a designated person, entity, country or nationally listed person on the basis of, and for the duration of the validity of an action initiated by the Security Council in accordance with applicable Security Council Resolutions and shall be construed accordingly;

"funds" has the meaning assigned to the word in the Act;

"group" means a structured group of three or more persons, existing for a period of time and acting in concert with the aim of committing a terrorist act or serious offence;

"information" means a document or any communication which is in an oral or recorded form;

"national listing" means the listing of a person or entity by the Minister as being engaged in or concerned with terrorism, proliferation or the proliferation financing by the Centre of the name of a designated person or entity in accordance with applicable United Nations Resolutions;

"other services" includes technical assistance, training or any other service rendered in connection with a terrorist act, terrorist financing or any contravention of the Act, the applicable resolutions or these Regulations;

"privileged information" means information with respect to which a claim to legal professional privilege could be maintained in legal proceedings;

"proliferation" includes the manufacture, acquisition, possession, development, export, transhipment, brokering, transport, transfer, stockpiling, supply, sale or use or use of nuclear, ballistic, chemical, radiological or biological weapons or any other weapon capable of causing mass destruction, and their means, of delivery and related materials (including both technologies and dual-use goods used for non-legitimate purposes), including technology, goods, software, services or expertise, in contravention of this Act or where applicable, international obligations derived from relevant Security Council Resolution;

"proliferation financing" means an act by a person who by any means, directly or indirectly, wilfully or negligently provides funds or financial services to be used or knowing that they are to be used in whole or in part for the manufacture, acquisition, possession, development, export, transhipment brokering, transport, transfer, stockpiling, supply, sale or use of nuclear, ballistic, chemical, radiological or biological weapons or any other weapon capable of causing mass destruction and their means, of delivery and related materials (including both technologies and dual-use goods used for non-legitimate purpose), including technology, goods, software, services or expertise, in contravention of this Act or, where applicable, international obligations derived from relevant Security Council Resolutions;

"reporting entity" has the meaning assigned to the word in the Financial Intelligence Centre Act, 2010;

"sanctions" includes an asset freeze, travel ban and arms embargo;

"supervisory authority" has the meaning assigned to the term in the Financial Intelligence Centre Act, 2010;

"terrorism" has the meaning assigned to the word in the Act;

"terrorism financing" means an act by a person who by any means directly or indirectly, wilfully, provides or collects funds from any source whether legal or illegal or attempts to do so, intending that the funds should be used or knowing or reasonably suspecting that the funds are to be sued in full or in part, whether actually used or not—

(a) to carry out a terrorist act;

(b) by an individual terrorist; or

"travel ban" means the prohibition of the travel of a designated or listed person, group or entity to, from or through the territory of the Republic.

(2) For the purposes of these Regulations "involvement in terrorism" includes—

(a) the commission, preparation or instigation of acts of terrorism;

(b) the financing of terrorism acts or persons or entities connected with terrorism;

(c) conduct that facilitates the commission, preparation or instigation of acts of terrorism, or that is intended to do so;

(d) conduct that gives support or assistance to persons or entities known or believed by the person concerned, to be involved in terrorism;

(e) obtaining supply or instruction or training in the use of—

(i) firearms or explosives; or

(ii) chemical, biological, radiological or nuclear weapons or their components; or

(f) the commission of any act of terrorism defined under the Act or any other law.

3. Application

These Regulations apply to—

(a) a designated person or entity under the applicable resolutions;

(b) a person or an entity suspected of being involved in terrorism, terrorism financing, proliferation or proliferation financing;

(d) a supervisory authority;

(e) any other person or entity that does anything provided for or prohibited under these Regulations.

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PART II
LISTING AND DELISTING

4. National listing

(1) The Minister may nationally list a person or entity upon receipt of information from the Centre or at the request of a foreign country.

(2) The Centre shall submit information in relation to a person or entity to the Minister in writing for national listing where the Centre—

(a) reasonably believes that a person or entity—

(i) is or has been involved in terrorism, terrorism financing, proliferation or proliferation financing;

(ii) is owned or controlled directly or indirectly by a person who is or has been involved in terrorism, terrorism financing, proliferation or proliferation financing;

(iii) is acting on behalf of a person, or entity that is involved or has been involved in terrorism, terrorism financing, proliferation or proliferation financing; and

(b) considers that it is necessary for purposes connected with protecting members of the public from terrorism and that financial restrictions and other sanctions should be applied in relation to that person or entity.

(3) For the purposes of a national listing under these Regulations and the applicable resolutions, it is immaterial whether the acts of terrorism in question are specific acts of terrorism or general acts of terrorism or whether they are intended to be or are actually committed.

(4) The information referred in sub-regulation (1) shall include, where available—

(a) the name, including any alias or title, of the persons or entity;

(b) the place and date of birth, establishment or incorporation as applicable;

(d) the passport number, identity card number or registration number;

(e) the gender;

(f) the physical, postal and electronic mail addresses;

(g) the occupation;

(h) the telephone number; and

(i) any other information which the Centre considers relevant.

(5) A request for national listing made by a foreign country shall be transmitted to the Zambian Mission in that country or the nearest country where a Zambian mission is located.

(6) Where a Zambian Mission referred to in sub-regulation (5) does not exist, the foreign country shall transmit the request to the ministry responsible for foreign affairs in Zambia.

(7) The ministry responsible for foreign affairs shall, on receipt of a request under paragraph (2), immediately, submit the request to the ministry responsible for internal security for consideration.

(8) The Minister responsible for internal security, shall, upon receipt of a request under paragraph (3) and as soon as practicable, submit the request to the Centre for a determination as to whether there are reasonable grounds to nationally list a person or entity in accordance with the Act and these Regulations.

(9) Where the Centre determines that there are reasonable grounds to nationally list a person or entity, the Centre shall immediately notify the Minister.

(10) The Minister shall, upon receipt of the information from the Centre or at the request of a foreign country, nationally list a person or entity for the purposes of these Regulations and the applicable resolutions in Form I set out in the First Schedule, with necessary modifications.

(11) The Centre shall, upon receipt of the national listing—

(a) direct all reporting entities to immediately freeze all property, funds, and other financial assets or economic resources suspected or belonging to a listed person or entity including funds derived from property owned or controlled directly or indirectly, by that nationally listed person or entity or by a person acting on that nationally listed person’s or entity’s behalf or at the nationally listed person’s or entity’s direction, and ensure that these funds and other financial assets or any other funds, financial assets or economic resources are not made available, directly or indirectly for the nationally listed person’s or entity’s benefit, by their nationals or by persons within their territory;

(b) give written notice of the national listing to the nationally listed person or entity, specifying its implications and the procedure for review and information on the delisting process after the national listing has taken effect; and

(c) publicise the national listing as soon as is practicable in a national newspaper of general circulation and on its website.

(12) A reporting entity that contravenes regulation 11(a) commits an offence and is liable on conviction to fine not exceeding two thousand five hundred penalty units or to imprisonment for a term not exceeding two years or to both.

(13) The Centre shall circulate the national list to—

(a) a supervisory authority;

(b) a defence and security organ;

(d) the Financial Intelligence Centre; and

(e) a reporting entity.

(14) The Centre shall circulate the national list to another State as specified in the relevant Resolution.

(15) The Centre shall review and, where applicable, update, the national list annually.

(16) The Centre shall publicise the national listing generally, except where—

(a) in the case of an individual, the Centre believes that the nationally listed individual is under the age of 18 years; or

(b) the Centre considers that disclosure of the national listing should be restricted—

(i) in the interests of national security;

(ii) for reasons connected with the prevention or detection of an offence; or

(iii) in the interest of justice.

(17) Where the conditions referred to under sub-regulation (2) exist, the Centre shall inform the supervisory authorities and reporting entities which the Centre considers necessary to give effect to these Regulations.

(18) Where the conditions preventing a national listing under sub-regulation (2) cease to exist, the Centre shall—

(a) give written notice of that fact to the nationally listed person or entity; and

(b) take steps to publicise the national listing generally.

5. Duration of national listing

(1) A national listing by the Minister expires at the end of the period of one year after the date on which it was made, unless it is renewed.

(2) The Minister may renew a national listing at any time before it expires, if the circumstances referred to under regulation 4 continue to exist.

(3) The provisions of regulation 4 apply where a national listing is renewed.

6. Procedure for publication of designation

(1) The Permanent Mission of the Republic of Zambia to the United Nations shall, without delay, submit to the Ministry responsible for foreign affairs, a designation made by the Security Council in accordance with the applicable resolution and the provisions of the Act and these Regulations.

(2) The Minister shall, immediately upon receipt of a designation referred to in sub-regulation (1), submit the designation to the Centre.

(3) The Centre shall, on receipt of the designation referred to in sub-regulation (2), without delay, circulate the designation to—

(a) a supervisory authority;

(b) a defence and security organ;

(d) the Financial Intelligence Centre.

(4) A supervisory authority shall, on receipt of the designation submitted to it in accordance with sub-regulation (3)—

(a) circulate the designation to the reporting entities under its supervision for their information and action;

(b) where necessary, provide guidance to the reporting entities holding funds or other assets of a designated person or entity, in relation to their obligations under the Act, these Regulations or any other law; and

7. Notification of designation

(1) The Centre shall, upon receipt of the designation in accordance with the applicable resolution, the Act or these Regulations—

(a) instruct supervisory Authorities to direct all reporting entities to immediately or without delay freeze all property, funds, and other financial assets or economic resources suspected or belonging to a designated person or entity including funds derived from property owned or controlled directly or indirectly, by that designated person or entity or by a person acting on that designated person’s or entity’s behalf or at the designated person’s or entity’s direction, and ensure that these funds and other financial assets or any other funds, financial assets or economic resources are not made available, directly or indirectly for the designated person’s or entity’s benefit, by their nationals or by persons within their territory;

(b) give written notice of the designation to the designated person or entity, specifying its implications and the procedure for review and information on the delisting process after the designation has taken effect; and

(c) publicise the designation as soon as is practicable in a national newspaper of general circulation and on its website.

(2) A supervisory Authority or reporting entity that contravenes sub-regulation (1)(a) commits an offence and is liable on conviction to two thousand five hundred penalty units or to six month's imprisonment or to both.

8. Claim by third party

(1) A person who claims to have a bona fide right to funds or assets frozen in accordance with regulation 4(11) or regulation 7(1)(a) may apply to the Minister for the exclusion of that person’s interest from the freezing order.

(2) The application referred to in sub-regulation (1) shall be accompanied with a sworn or affirmed statement setting out—

(a) the nature and extent of the right, title or interest claimed by the applicant in the funds or assets concerned;

(b) the time and circumstances of the acquisition by the applicant of the right, title or interest in the funds or assets; and

(3) A person or entity that takes any freezing action under these Regulations shall ensure reasonable preservation of those funds and other assets.

9. Delisting requests

(1) The Centre is authorised to make delisting requests on behalf of the Republic in accordance with the delisting procedures under the applicable resolutions.

(2) A designated or nationally listed person, entity or country may request the appropriate Sanctions Committee to delist that person or entity in accordance with the appropriate resolution or the delisting procedure provided for in the applicable Resolution.

(3) A person or entity listed pursuant to an applicable resolution shall for purposes of making a request for delisting in accordance with these Regulations, make the delisting request in Form II set out in the First Schedule, with necessary modification and shall address that request to the address specified in Second Schedule.

(4) A request for delisting in terms of sub-regulation (2) shall contain—

(a) in case of an individual—

(i) the full name of the individual including any middle names or initials, parent’s and grandparent’s names as may be applicable, and any other names or pseudonyms used by individual;

(ii) the date and place of birth;

(iii) a nationality or nationalities of the individual where the individual holds more than one nationality;

(iv) the state of current residence; and

(v) any other information which may help to clarify any issues of identity; or

(b) in the case of an entity—

(i) full name of the entity including any alternative names used;

(ii) where applicable the place and date of incorporation or registration;

(iii) current and any other state of operation; and

(iv) any other information which may help to clarify issues of identity.

(5) The request in terms of sub-regulation (2) shall include—

(a) a detailed statement of the reasons or justification for delisting, addressing any specific designating criteria set out in the designation entry or in the narrative summary and include any information or suspicion as to the basis for the person’s or entity’s inclusion on designation and any explanation, argument or submission relating to the same;

(b) where available, copies of any documents or other supporting or explanatory material;

(d) where applicable, a reference to any previous request for delisting made by the same designated person or entity through the focal point or any other way.

(6) Where a request for delisting is made by a person acting on behalf of a designated person or entity the request shall be accompanied by a document signed by the designated person or entity authorising the person to act on the designated person’s or entity’s behalf.

(7) Where the Sanctions Committee deletes the name of a person or entity appearing on a sanctions list, the Centre shall, within 24 hours of the deletion, notify—

(a) the supervisory authorities;

(b) defence and security organs;

(d) the Financial Intelligence Centre.

10. National delisting

(1) A nationally listed person or entity may apply to the Minister by depositing an application to the Centre in Form II set out in the Schedule, with necessary modifications.

(2) The Minister may, on the advice of the Centre, if satisfied on reasonable grounds that a person or entity is no longer concerned with terrorism or the funding thereof—

(a) delist such person, entity or country; and

(b) without delay, by notice in the Gazette, and when necessary by expeditious means of publication, publish a notice to delist that person or entity and the delisting shall take effect from the date of publication or on a date that may be specified in the notice.

(3) The notice published in the Gazette in accordance with sub-regulation (2)(b) is sufficient notice to the delisted person or entity.

(4) The Centre shall, within 24 hours of the delisting circulate a notice of the delisting to the institutions to which a national list was circulated under regulation 4(13).

(5) A supervisory authority shall notify a reporting entity of a delisting and direct that reporting entity to delete the name of the person or entity from the designation or national listing circulated to the reporting entity.

(6) The Centre shall notify a foreign State of the deletion as specified in the relevant Resolution.

(7) The delisting of a person, entity or country shall not automatically result in the unfreezing of assets.

11. Basis for maintaining asset freeze after delisting

Property frozen following a national listing or a designation shall remain frozen following a delisting where the Centre reasonably suspects that the—

(a) property will still be used in furtherance of terrorist activities;

(b) assets are tainted property; or

12. Application to unfreeze funds or property

(1) A delisted person, entity or country may apply to the Centre to have that person’s, entity’s or country’s property unfrozen within 12 months of the delisting.

(2) Where a delisted person fails to apply to have that person’s property unfrozen within twelve months, the Centre may apply for the property to be forfeited to the State in accordance with the Forfeiture of Proceeds of Crime Act, 2010.

(3) Despite sub-regulation (2), where the Centre determines that the circumstances upon which the property of the delisted person was frozen no longer exist, the Centre shall unfreeze the property as soon as practicable but without delay.

13. Confidential information

(1) Where the Centre notifies specific persons of a designation or national listing, the Centre may specify that the information contained in the notification must be treated as confidential.

(2) Subject to sub-regulation (3), a person who—

(a) is provided with information that is to be treated as confidential in accordance with sub-regulation (1); or

(b) obtains information of a designation or national listing by any other means;

shall not disclose the information to an unauthorised person if the person knows, or reasonably suspects that the information is required to be treated as confidential.

(3) A person who contravenes sub-regulation (2) commits an offence and is liable, on conviction to a fine not exceeding two thousand five hundred penalty units or to imprisonment for a term not exceeding two years, or to both.

(4) Sub-regulation (2) does not apply to a disclosure made by a person pursuant to lawful authority.

(5) For the purposes of this regulation, information is disclosed with lawful authority if the disclosure is—

(a) made or authorised by the Minister;

(b) by, or with the consent of, the designated or nationally listed person or entity;

(d) required, under an order of the High Court or tribunal under the Act or any other law for the purposes of legal proceedings of any description.

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

(7) The High Court may on the application of the Centre or a person or entity that is the subject of the information, grant an injunction to prevent a contravention of sub-regulation (2).

PART III
RESTRICTIVE MEASURES AND SANCTIONS IN RELATION TO DESIGNATED OR NATIONALLY LISTED PERSONS

14. Prohibition on dealing with funds and economic resources

(1) Subject to regulations 16 and 19, a person must not deal with funds or economic resources owned, held or controlled by a designated or nationally listed person or entity if the person knows, or reasonably suspects, that the person is dealing with those funds or economic resources.

(2) A person who contravenes sub-regulation (1) commits an offence and is liable, on conviction, to penalties specified in the Act.

(3) In this regulation, "deal with" means—

(a) in relation to funds—

(i) use, alter, move, allow access to or transfer;

(ii) treat the funds in a way that would result in any change in volume, amount, location, ownership, possession, character or destination; or

(iii) make any other change that would enable use, including portfolio management; and

(b) in relation to economic resources, exchange or use the resources in exchange for funds, goods or services.

15. Making funds or financial services available to designated or nationally listed person or entity prohibited

(1) Subject to regulations 16 and 19, a person or entity shall not make funds or financial services available, directly or indirectly, to a designated, listed or nationally listed person or entity if that person or entity knows, or reasonably suspects, that the person or entity is making the funds or financial services so available for the purposes of terrorism.

(2) A person or entity that contravenes sub-regulation (1) commits an offence and is liable, on conviction, to penalties specified in the Act.

16. Prohibition on making funds or financial services available for benefit of designated or nationally listed person or entity

(1) A person or entity must not make funds or financial services available to another person or entity for the benefit of a designated or nationally listed person or entity if that person or entity knows, or reasonably suspects that the other person or entity is making the funds or financial services available to a designated or nationally listed person or entity for the purposes of terrorism, terrorism financing, proliferation or proliferation financing.

(2) For the purposes of this regulation, funds are made available for the benefit of a designated, listed or nationally listed person or entity if that person, group or entity thereby obtains, or is able to obtain, a financial benefit.

(3) A person who contravenes sub-regulation (1) commits an offence and is liable, upon conviction, to penalties specified in the Act.

17. Prohibition on making economic resources available to designated or nationally listed person or entity

(1) Subject to regulation 19, a person or entity shall not make economic resources available directly or indirectly to a listed or nationally listed person or entity if that person or entity knows, or reasonably suspects—

(a) that the person or entity is making the economic resources so available to the listed or nationally listed person or entity; and

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

(2) A person or entity that contravenes sub-regulation (1) commits an offence and is liable, on conviction, to penalties specified in the Act.

18. Prohibition of procuring, supplying, provision, import or export of weapons, arms and related materials, sanctioned items and technical advice, services, assistance and training

(1) A person or entity shall not facilitate the acquisition, transportation or other transactions, relating to firearms, explosives, chemical, biological, radiological or nuclear weapons or their components within or through the Republic on behalf of a designated or nationally listed person or entity or for the benefit of that designated or nationally listed person or entity.

(2) A person who knows or reasonably suspects that a transaction under sub-regulation (1) is about to take place must notify an authorised officer immediately that person becomes aware of that transaction or as soon as practicable after that person becomes aware of the transaction.

(3) An authorised officer who receives information under sub-regulation (2) must take immediate steps to prevent the performance or conclusion of the transaction.

(4) A person from the Republic or elsewhere who, directly or indirectly—

(a) procures, supplies, delivers, sells, brokers, or transfers, imports or exports;

(b) agrees to procure, supply, deliver, sell, broker, transfer, import or export; or

(c) does any act calculated to promote the procurement, supply, delivery, brokering, sale or transfer, import or export of, items which are subject to sanctions, firearms, explosives, chemical, biological, radiological or nuclear weapons or their components and related material of all types including weapons and ammunition, military vehicles and equipment, paramilitary equipment, and their spare parts, inclusive of technical advice, services, assistance, or training related to military or terrorist acts to or from—

(i) a designated or nationally listed person or entity;

(ii) a person or entity controlled or owned directly or indirectly by a designated or nationally listed person or entity referred to in paragraph (a); or

(iii) a person or entity acting on behalf of, or at the direction, of a designated or nationally listed person or entity mentioned in paragraph (a), using a Zambian or non-Zambian flagged vessel or aircraft or aircraft registered in Zambia;

commits an offence and is liable, on conviction, to the penalties specified in the Act.

(5) A person who, directly or indirectly—

(a) procures, supplies, delivers, sells, brokers, transfers, import or export;

(b) agrees to procure, supply, deliver, sells, brokers, transfers, import or export; or

(c) does any act calculated to promote the procurement, supply, delivery, sale, brokering, transfer, import or export of, items which are not subject to sanctions, to or from, or brokered by—

(i) a designated or nationally listed person or entity;

(ii) a person or organisation controlled or owned directly or indirectly by a designated or nationally listed person or entity referred to in paragraph (a); or

(iii) a person or entity acting on behalf of, or at the direction of a designated or nationally listed person or entity referred to in paragraph (a), using a Zambian or non-Zambian flagged vessel or aircraft registered in Zambia, must—

(A) follow the requirements of the applicable Security Council Sanctions Committees;

(B) verify the enduse and enduse location of such items; and

(C) notify the relevant Security Council Sanctions Committee and where applicable, the International Atomic Energy Agency, within 10 days of the supply, sale or transfer of those items.

(6) A Customs and Excise Officer or an authorised officer may—

(a) search and inspect all cargo to and from a designated country, including cargo on an aircraft or a vessel, where reasonable grounds exist to suspect a violation of applicable terrorism, terrorism financing proliferation or proliferation, financing Security Council Resolutions and sanctions;

(b) seize any items subject to sanctions, arms and related material of all types including weapons and ammunition, military vehicles and equipment, paramilitary equipment, and their spare parts, where reasonable grounds exist to suspect a violation of applicable Security Council Resolutions and sanctions relating to terrorism, terrorism financing, proliferation and proliferation financing; or

(c) cause the disposal of any items subject to sanctions, arms and related material of all types including weapons and ammunition, military vehicles and equipment, paramilitary equipment, and their spare parts, where reasonable grounds exists to suspect a violation of applicable Security Council Resolutions and sanctions relating to terrorism, terrorism financing, proliferation or proliferation financing.

(7) Where a search and inspection is refused by a flagged vessel of another State, the Customs and Excise officer or an authorised officer shall—

(a) through the Ministry responsible for foreign affairs, request the flag State permission to carry out a cargo search and inspection; and

(b) where a requested flag State refuses a search and inspection under paragraph (a), request the flag State, through the Ministry responsible for foreign affairs, to instruct the vessel to proceed to an appropriate and convenient port for the required search and inspection.

(8) A Customs and Excise Officer or an authorised officer shall inform the Minister of the action taken within 14 days after—

(a) conducting a search and inspection of cargo under sub-regulation (3)(a);

(b) seizure of an item subject to sanctions under sub-regulation (3)(b); or

(9) A person, entity and any Customs and Excise Official or an authorised officer, must cause the refusal of any bunkering service to be provided to a vessel or aircraft, where—

(a) reasonable grounds exist to suspect a Security Council resolution or sanctions violation; or

(b) a search or inspection is refused under this regulation, except where those services are necessary for humanitarian purposes or until such time as the cargo has been inspected, or seized and disposed of, if necessary.

(10) A person commits an offence who—

(a) directly or indirectly, interferes with a Customs and Excise Officer or an authorised officer in the exercise of their functions under this regulation; or

(b) provides bunkering services in contravention of these Regulations.

(11) A person who contravenes sub-regulation (10) commits an offence and is liable on conviction to the penalties specified in the Act.

(12) A person who facilitates a transaction knowing or reasonably suspecting that the transaction contravenes sub-regulation (1) commits an offence and is liable, on conviction, to the penalties specified in the Act.

19. Prohibition of travel by designated or nationally listed person or entity

(1) A road, water or air transportation provider or any transportation agent operating within the Republic or whose transportation carries persons or goods within or outside the Republic shall not knowingly permit or facilitate the transportation of a designated, listed or nationally listed person or restricted goods specified by the Centre.

(2) A person shall not knowingly provide or facilitate the transportation of a designated, listed or nationally listed person or restricted goods specified by the Centre by road, water or air transportation within or outside the Republic.

20. Prohibition of transit by designated, listed or nationally listed persons or entities

(1) A designated or nationally listed person shall not enter or transit through the Republic if the entry or transit would be contrary to a determination of the Security Council made under Article 41 of the Charter of the United Nations.

(2) Despite the provisions of any other law, the Director-General of Immigration shall not grant a visa to a designated or nationally listed person unless the Director-General has obtained the advice of the Centre that the issuance of the visa is consistent with a determination of the Security Council referred to in sub-regulation (1).

(3) A person who contravenes this regulation commits an offence and is liable, on conviction to the penalties specified in the Act.

(4) The provisions of this regulation shall not be construed as varying or waiving the requirements imposed by the Immigration and Deportation Act, 2010.

21. Permitted transit

Despite the provisions of regulation 20, a designated or nationally listed person shall not be prevented from entering or transiting through the Republic where—

(a) the designated or nationally listed person is a citizen;

(b) the entry or transit is necessary for compliance with a judicial process; and

(c) the appropriate United Nations Sanctions Committee determines, on a case by case basis, that the entry or transit is justified.

22. Exceptions

(1) Despite regulations 11 to 13, a reporting entity may credit a frozen account with—

(a) interest or other earnings due on the account; or

(b) payments due under contracts, agreements or obligations that were concluded or arose before the account was frozen.

(2) Despite regulations 12 and 13 a reporting entity may credit a frozen account where it receives funds transferred to the account.

(3) Despite regulation 13, a payment may be made which—

(a) is a benefit under or by virtue of a law relating to social security; and

(b) is to a person or entity that is not a designated or nationally listed person or entity whether or not the payment is made in respect of that designated or listed person.

(4) A reporting entity shall inform the Centre without delay if it credits a frozen account in accordance with sub-regulation (1) or (2).

(5) In this regulation "frozen account" means an account with a reporting entity which is held or controlled, directly or indirectly, by a designated or nationally listed person or entity.

(6) A person whose property has been frozen following a designated or national listing under these Regulations may submit a request to the Minister to release that property or a portion of that property to cover—

(a) necessary and basic expenses, including payments for rent or mortgage, foodstuffs, monthly family expenses, medicines and medical treatment, taxes, insurance premiums and public utility charges;

(b) expenses exclusively for payment of reasonable professional fees, or reimbursement of incurred expenses associated with the provision of legal services;

(c) fees or service charges for routine holding or maintenance of frozen funds or other financial assets or economic resources;

(d) necessary extraordinary expenses; and

(e) in respect of funds frozen under UNSCR 1718 and 1737 (2006)—

(i) expenses necessary to honour any judicial, administrative or arbitral lien or judgment;

(ii) payments due under contracts entered into prior to the listing of such person or entity, provided—

(A) that it has been determined that the contract is not related to any of the prohibited items, materials, equipment, goods, technologies, assistance, training, financial assistance, investment, brokering or services referred to in the relevant Security Council Resolution;

(B) that it has been determined that the payment is not directly or indirectly received by a person or entity designated pursuant to UNSCR 1737; and

(C) ten working days prior to the notification of the intention to make or receive such payments or to authorise, where appropriate, the unfreezing of funds, other financial assets or economic resources for this purpose, has been given to the 1737 Sanctions Committee.

(7) The request to have funds released for expenses under sub-regulation (6)(a), (b), (c) and (e), shall be assessed by the Centre within 14 working days, and if favourably considered, the request shall be directed to the relevant Sanctions Committee for its decision.

(8) The Centre may, within 48 hours from date of submission of the request to the relevant Committee in terms of sub-regulation (6) and in the absence of any negative decision received from that Committee, authorise the release of funds as applied for.

(9) The request to have funds released as outlined in sub-regulation (6) shall be—

(a) assessed by the Centre and if favourably considered, the request is forwarded to the relevant Sanctions Committee for its approval; and

(b) authorised by the Centre upon receipt of approval from the relevant Sanctions Committee.

23. Licences

(1) Regulations 11 and 15 do not apply to anything done under the authority of a licence granted by the Centre.

(2) A licence shall specify the acts authorised and may be—

(a) general or granted to a category of persons or entities or to a particular person;

(b) subject to conditions; and

(3) The Centre may vary or revoke a licence at any time.

(4) On the grant, variation or revocation of a licence, the Centre shall—

(a) in the case of a licence granted to a particular person, give written notice of the grant, variation or revocation to that person; or

(b) in the case of a general licence or a licence granted to a category of persons or entity, take such steps as the Centre considers appropriate to publicise the grant, variation or revocation of the licence.

(5) A person commits an offence if that person, for the purpose of obtaining a licence, knowingly or recklessly—

(a) provides information that is false in a material respect; or

(b) provides or produces a document that is not what it purports to be.

(6) A person who purports to act under the authority of a licence but fails to comply with a condition of the licence commits an offence and is liable, on conviction, to imprisonment for a term not exceeding two years.

24. Circumventing prohibitions etc.

A person or entity that intentionally participates in activities knowing that the object or effect of those activities is to directly or indirectly circumvent, enable or formulate the contravention of provisions of this Part, commits an offence and is liable, on conviction, to the penalties specified in the Act.

PART IV
INFORMATION

25. Publication and circulation of designation or national listing

The Centre may adopt measures or make arrangements for the prompt publication and circulation of the national list, including publication on its website and in other media as applicable.

26. Reporting obligations of relevant institutions

(1) Subject to the Financial lntelligence Centre Act, 2010 a reporting entity shall notify the Centre as soon as practicable if—

(a) it knows, or reasonably suspects, that a person or entity—

(i) is a designated or nationally listed person or entity; or

(ii) has committed an offence under Part III; and

(b) the information or other matter on which the knowledge or suspicion under paragraph (a) is based came to the institution in the course of carrying on its business.

(2) Where a reporting entity informs the Centre under sub-regulation (1), the reporting entity shall state—

(a) the information or other matter on which the knowledge or suspicion is based; and

(b) any information it holds about the person or entity by which the person or entity can be identified.

(3) If a reporting entity informs the Centre under sub-regulation (1) that the entity knows, or has reasonable cause to suspect, that a person or entity is a designated or nationally listed person or entity and that the person, group or entity is a customer of the reporting entity, the reporting entity shall also state the nature and amount or quantity of any funds or economic resources held by the reporting entity for the customer at the time when the reporting entity first had the knowledge or suspicion.

(4) A reporting entity that fails to comply with this regulation commits an offence and is liable, on conviction, to the penalties specified in the Act.

27. Power to request information

(1) Where the Centre believes that information is necessary for the purpose of monitoring compliance with this Part, the Centre may directly or through a supervisory authority request a designated or nationally listed person or entity to provide information—

(a) concerning—

(i) funds or economic resources owned, held or controlled by or on behalf of the designated or nationally listed person or entity; or

(ii) any disposal of such funds or economic resources; or

(b) that the Centre may reasonably require about expenditure—

(i) by or on behalf of the designated or nationally listed person or entity; or

(ii) for the benefit of the designated or nationally listed person or entity.

(2) The Centre may request a person acting under a licence granted under regulation 23 to provide information concerning—

(a) funds or economic resources dealt with under the licence; or

(b) funds, economic resources or financial services made available under the licence.

(3) The Centre may request any person in or resident in the Republic to provide information that the Centre may reasonably require for the purpose of—

(a) establishing under this Part—

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

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

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

(b) monitoring compliance with or detecting circumvention of this Part; or

(4) The Centre may issue guidelines specifying the manner in which, and the period within which, information is to be provided pursuant to a request.

(5) Where no period is specified for provision of information in accordance with sub-regulation (4), the information which has been requested shall be provided as soon as practicable.

(6) A request may include a continuing obligation to keep the Centre informed as circumstances change, or on such regular basis as the Centre specifies.

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

(8) Information requested under this regulation may relate to any period of time before a person or entity became a designated or nationally listed person or entity.

28. Production of documents

(1) A request made under regulation 27 may include a request to produce specified documents or documents of a specified description.

(2) Where the Centre requests that documents be produced, the Centre may—

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

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

(c) where the person or entity under paragraph (b) is a body corporate, partnership or unincorporated body other than a partnership, request any person to give such an explanation who is—

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

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

(3) Where the Centre requests a designated or nationally listed person or entity or a person acting under a licence granted under regulation 23 to produce documents, that person shall—

(a) take reasonable steps to obtain the documents; and

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

29. Failure to comply with request for information

(1) A person or entity shall not—

(a) without reasonable excuse, refuse or fail within the time and in the manner specified, or if no time has been specified, as soon as practicable to comply with any request made under these Regulations;

(b) knowingly or recklessly give any information, or produce any document, which is false in a material particular in response to that request;

(c) with intent to circumvent the provisions of these Regulations destroy, mutilate, deface, conceal or remove any document; or

(d) otherwise intentionally obstruct the Centre, a supervisory authority or an authorised officer in the exercise of their powers under these Regulations or any other law.

(2) A person or entity that contravenes sub-regulation (1) commits an offence and is liable, on conviction, to the penalties specified in the Act.

(3) The Centre, upon application to the High Court and satisfying the Court that a person or entity has failed without reasonable excuse to comply in whole or in part with any obligations in the request, shall obtain an order against that person or entity or any of their officers or employees, where applicable, on the terms that the court considers necessary to enforce compliance with those obligations.

(4) Where a person or entity is convicted of an offence under this regulation, the High Court may order that person or entity to comply with the request within such period as may be specified in the order.

30. Disclosure of information by Centre

(1) The Centre may disclose any information obtained by it in exercise of its powers under this Part, including any document so obtained and any copy or extract made of any document so obtained to—

(a) an authorised officer;

(b) a person holding or acting in any office under or in the service of the Republic;

(d) the Financial Intelligence Centre;

(e) a supervisory authority;

(f) a defence and security organ;

(g) such law enforcement agencies as it consider necessary;

(h) a reporting entity;

(i) a third party, with the consent of a person who, in their own right, is entitled to the information or to possession of the document, copy or extract; and

(j) any organ of the United Nations or any person in the service of the United Nations, the African Union, the Council of the European Union, the European Commission or the Government of any country for the purpose of giving assistance or cooperation, pursuant to the relevant Security Council Resolutions.

(2) The Centre shall take such steps as it considers appropriate to cooperate with an investigation in the Republic or elsewhere relating to the funds, economic resources or financial transactions of a designated or nationally listed person or entity.

31. Application of Part

(1) Nothing done in compliance with this Part shall be treated as a breach of any restriction imposed by a law or otherwise.

(2) Nothing in this Part authorises a disclosure that—

(a) contravenes the provisions of the Electronic Communications and Transactions Act, 2009, relating to Data Protection;

(b) is prohibited under the Financial Intelligence Centre Act, 2010; or

(3) Nothing in this Part shall be construed as requiring a legal practitioner who has acted as an advocate for any person to disclose any privileged information in that legal practitioner’s possession in that capacity.

(4) This Part does not limit the circumstances in which information may be lawfully disclosed apart from this Part.

(5) This Part does not limit the powers of the Centre to impose conditions in connection with the discharge of the Centre’s functions under these Regulations.

PART V
SUPERVISION OF EXERCISE OF POWERS

32. Appeal to High Court in relation to listing or national listing

(1) This Part applies—

(a) to any decision of the Minister—

(i) to make or vary a listing or national listing of a person or entity;

(ii) to renew a national listing of a person or entity;

(iii) not to vary or revoke a national listing of a person or entity; or

(b) an order to freeze assets or prohibit travel of a designated or nationally listed person or entity.

(2) The designated or nationally listed person or entity concerned may appeal against a decision refered to in sub-regulation (1) to the High Court.

(3) On appeal, the High Court may make an order that it considers appropriate.

33. Review of decision by High Court

(1) Despite regulation 31, a person or entity affected by a designation or national listing, freezing, travel prohibition, or other decision may apply to the High Court for the designation or national listing, freezing, travel prohibition or other decision to be set aside on the ground that it is illegal, improper or irrational.

(2) In determining whether the designation or national listing or decision should be set aside, the High Court shall apply the principles applicable to an application for judicial review.

34. Centre to report on operation of Part III

(1) As soon as practicable, but not later than 90 days after the end of the financial year, the Centre shall prepare and submit to the Minister a report about the exercise of the powers conferred on it by Part III and its activities during that financial year.

(2) The Minister shall not later than seven days after the first sitting of the National Assembly next after receipt of the report referred to in sub-regulation (1) lay the report before the National Assembly.

35. Appeal or application not to operate as stay

The making of an appeal or application under this Regulation does not suspend the effect of or stay the decision to which the appeal or application relates.

PART VI
GENERAL PROVISIONS

36. General penalty

A person who is convicted of an offence under these Regulations for which no penalty is expressly provided, is liable, on conviction, to a fine not exceeding two thousand five hundred penalty units, or to imprisonment for a term not exceeding two years, or to both.

37. Offences by body corporate or unincorporate body

Where an offence is committed by a body corporate or unincorporated body, every director or manager of the body corporate or unincorporated body is liable, on conviction, as if the director or manager personally committed the offence, unless the director or manager proves to the satisfaction of the court that the act constituting the offence was done without the knowledge, consent or connivance of the director or manager or that the director or manager took reasonable steps to prevent the commission of the offence.

38. Service of notices

(1) This regulation applies in relation to any notice to be given to a person by the Centre under this Part.

(2) A notice under sub-regulation (1) may be given—

(a) to the person named in the notice;

(b) by posting it to the person’s last known address;

(d) where the person is a body corporate, partnership or unincorporated body other than a partnership, by posting it to the registered or principal office of the body or partnership concerned; or

(e) through substituted service.

39. Forfeiture of proceeds or property

(1) The provisions of the Forfeiture of Proceeds of Crime Act, 2010, apply in relation to the seizure and forfeiture of any proceeds or property.

(2) A person who tampers with any property that is seized or forfeited under these Regulations commits an offence and is liable, on conviction, to imprisonment for a period not exceeding two years.

40. Application to Republic

(1) This Part binds the Republic.

(2) A contravention of this Part by the Republic does not make the Republic criminally liable.

(3) The High Court may, on the application of a person appearing to the Court to have an interest, declare unlawful any act or omission of the Republic that constitutes a contravention of a provision of this Part.

41. Revocation of S.I. No. 103 of 2015

The Anti-Terrorism (Implementation of the United Nations Security Council Resolutions on the Prevention of Terrorism) Regulations, 2015, are revoked.

FIRST SCHEDULE

[Regulations 4 and 36]

PRESCRIBED FORMS

Form I

[Regulation 4]

REPUBLIC OF ZAMBIA

The Anti-Terrorism Act, 2007
(Act No. 21 of 2007)

The Anti-Terrorism (United Nations Resolutions Implementation) Regulations, 2017

PART A—LISTING OF INDIVIDUALS

CONSOLIDATED LIST: STANDARD FORM FOR MEMBER STATE SUBMISSIONS TO THE COMMITTEE FOR LISTING OF INDIVIDUALS

For additional information on listing and explanatory notes on completing this form see:
www.un.org/sc/committees/1267/listing.shtml

Form II

[Regulation 9]

REPUBLIC OF ZAMBIA

The Anti-Terrorism Act, 2007
(Act No. 21 of 2007)

The Anti-Terrorism (United Nations Resolutions Implementation) Regulations, 2017

Standard form for the submission of requests to remove a name from the Al-Qaida Sanctions List maintained by the Security Council Committee pursuant to resolutions 1267 (1999) and 1989 (2011) concerning Al-Qaida and associated individuals and entities

The use of this form is optional. If used, please complete as many fields as possible.

If you are a representative of a Member State:

   Please send the completed form to the Secretariat of the Committee:
      - by mail: 1267/1989 Committee Secretariat
      - Security Council Subsidiary Organs Branch (Room TB-08040C) United Nations
      - New York, N.Y. 10017 - USA
      - by fax: +1 212 963 1300/3778
      - by e-mail: SC-1267-Committee@un.org

If you are a petitioner (individual, group, undertaking or entity on the Al-Qaida Sanctions List, or a representative thereof):

   Please refer to the Office of the Ombudsperson for guidance
   website: http://www.un.org/en/sc/ombudsperson/
   The use of this form is not required by the Ombudsperson but may be forwarded to her as follows:
      - by mail: Office of the Ombudsperson
      Room TB-08041D
      United Nations - New York, NY 10017, United States of America
      - by fax: +1 212 963 1300/3778
      - by e-mail: ombudsperson@un.org

The use of this form by no means prejudges the decision of the Committee

SECOND SCHEDULE

[Regulation 9]

ADDRESS FOR DELISTING REQUESTS

Office of the Ombudsperson

Room TB-08041D

United Nations

New York, NY 10017

United States of America

Tel: +1 212 963 2671

Fax:+1 212 963 1300/3778

E-mail: ombudsperson@un.org

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