Background Information
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The UN Security Council imposes mandatory sanctions, including arms embargoes, under Chapter VII of the UN Charter when an international situation represents:
UN sanctions are coercive, targeted measures that do not entail the use of force. In practice, UN sanctions, particularly arms embargoes, have targeted parties to armed conflicts; states pursuing weapons of mass destruction (WMD) programmes; 'terrorist groups'; and states, individuals, or entities that provide assistance, sanctuary, and training for terrorist groups and individuals. UN sanctions imposed by the Security Council can be divided into five main categories:
Arms embargoes (conventional arms and WMD) are one of the most frequently imposed types of sanctions used to compel states or other actors to change their behaviour in the interests of international peace and security. While the UN system does not provide a universally agreed definition of what is included under the term 'arms', sanctions resolutions typically refer to 'arms and related materiel of all types', including:
At present, 14 UN sanctions regimes, including 11 mandatory arms embargo regimes, are in force. The current mandatory arms embargoes apply to the following states and/or non-governmental forces on their territory: Somalia (UNSCR 733); the Democratic Republic of the Congo (UNSCR 1493); Iraq (UNSCR 1546); Sudan's Darfur region (UNSCR 1556); Lebanon (UNSCR 1701); DPRK (UNSCR 1718); Iran (UNSCR 1737); Libya (UNSCR 1970); the Central African Republic (UNSCR 2127); South Sudan (UNSCR 2428); and Yemen (UNSCR 2216). Arms embargoes are also in place in relation to the non-state armed groups ISIL (Da'esh), al-Qaida, and associated entities (UNSCR 1989, UNSCR 2170), and to the Taliban (UNSCR 1988).
To maximize the impact of Security Council efforts, a 'sanctions regime' often applies a combination of these sanctions to target a particular actor or set of actors in order to exert pressure on them to change behaviour or to achieve particular objectives. Each sanctions regime is unique and entails a different mix of tools.
UN member states are obliged under international law to implement and enforce UN Security Council sanctions. In general, UN member states are required to:
These elements are discussed in more detail below. The preconditions for the effective implementation and enforcement of UN sanctions at the national level are:
A number of UN bodies are responsible for adopting and overseeing the implementation and enforcement of UN sanctions:
The UN Security Council arms embargo regime on the DPRK has its origins in Resolution 1695 (UNSCR 1695), which, inter alia, required member states to 'exercise vigilance and prevent missile and missile-related items, materials, goods and technology being transferred to DPRK's missile or WMD programmes', as well as 'the transfer of any financial resources in relation to DPRK's missile or WMD programmes'.
Later that same year, in Resolution 1718 (UNSCR 1718), the UN Security Council went further, imposing a range of multilateral sanctions, including an arms embargo, on the DPRK in order to reduce or eliminate the threat posed to international peace and security by the country's nuclear test of October 2006 and the announcement in January 2003 of its withdrawal from the Treaty on the Non-Proliferation of Nuclear Weapons.
Since 2006, the UN Security Council has introduced new sanctions and expanded the arms embargo on the DPRK several times. Through ten resolutions, the UN Security Council has created the most complex array of restrictions ever imposed by the UN on any state or non-state actor:
The scope of the arms embargo is therefore regularly updated. Due to its complexity, the sanctions committee has prepared additional guidance on which items are prohibited for export to and import from the DPRK.
Specific dimensions in relation to the arms embargo on the DPRK currently in force include the following:
The Fact Sheet Compiling Certain Measures Imposed by Security Council Resolutions related to the DPRK provides details on the many dimensions of this evolving regime (UNSC 1718 Sanctions Committee, 2018b). Further information on the scope of the embargo on the DPRK can be found in the panel of experts' reports. These reports also contain details of the panel's investigations into activities that contravene UNSCRs.
The following resources are helpful in providing more detailed background information on issues relating to UN Security Council sanctions, arms embargoes, and the DPRK:
Broker: The UN Governmental Group of Experts (UN GGE) on Brokering describes a 'broker' as 'a person or entity acting as an intermediary that brings together relevant parties and arranges or facilitates a potential transaction […] in return for some form of benefit, whether financial or otherwise' (UNGA, 2007, para. 8).
Brokering: The UN GGE on Brokering defines 'brokering' as an activity undertaken by a 'person or entity acting as an intermediary that brings together relevant parties and arranges or facilitates a potential transaction […] in return for some form of benefit, whether financial or otherwise' (UNGA, 2007, para. 8). Such activities include the following: '(a) Serv[ing] as a finder of business opportunities to one or more parties; (b) Put[ting] relevant parties in contact; (c) Assist[ing] parties in proposing, arranging or facilitating agreements or possible contracts between them; (d) Assist[ing] parties in obtaining the necessary, documentation; (e) Assist[ing] parties in arranging the necessary payments' (para. 9). A broader definition of brokering includes activities that involve arranging for the provision of services related to an arms deal, such as technical assistance, training, transport, freight forwarding, storage, finance, insurance, maintenance, security, and other services. It has been suggested that the provision of technical services, advertising, and other services related to arms deals should also be considered core arms brokering activities (Wood, 2006a, pp. 13–16).
Brokering licence: A 'brokering licence' (see also export licence and transit licence) in the context of the arms trade typically refers to a document issued by a competent national authority, authorizing a broker to engage in brokering activities. Certain national legislatures issue brokering licences as general permits and require separate, specialized documentation for every subsequent transaction in which the broker is engaged (for further discussion, see Anders and Cattaneo, 2005).
Competent national authority: A competent national authority (also referred to as a 'national competent authority') refers to the national authority, or authorities, designated by a 'Member State and having the necessary powers and allocated responsibilities for performing the tasks related to [inter alia] certification, oversight, and enforcement' (Law Insider, n.d.; see also national authority).
Dual-use items: The term 'dual-use items' refers to 'goods, software and technologies that can be used for both civilian purposes and in connection with conventional, biological, chemical and nuclear weapons, and their delivery systems' (Bromley et. al., 2017, p. 588).
End use: The Modular Small-arms-control Implementation Compendium (MOSAIC) Glossary defines the term 'end use' as 'the ultimate application of internationally transferred small arms or light weapons' (MOSAIC Glossary, 2018, p. 10). According to the Wassenaar Arrangement's Introduction to End User/End Use Controls for Exports of Military-List Equipment, end use could also refer to the 'integration of a component or subsystem into a larger end product' (WA, 2014, p. 1). In order to combat this, end-use controls are often put in place 'to restrict the actual end use of an exported […] product, either geographically or in some other manner' (p. 1). The term 'end-use controls' refers to restrictions imposed on the export of certain goods in order to ensure that the exported materiel is not diverted to unintended end users or end uses. These controls typically focus on the three stages of export: the pre-licence phase, the application procedure, and the post-licence phase (p. 1).
End user: The term 'end user' is defined in the MOSAIC Glossary as 'the ultimate recipient of an international transfer of small arms or light weapons' (MOSAIC Glossary, 2018, p. 11). End users may thus take many forms, including, inter alia, 'a national government, national military forces, or other national authorities such as police, customs or paramilitary forces' (WA, 2014, p. 1). Some forms of equipment may also be 'exported to private entities that provide security services' (p. 1).
Export licence: In the context of the arms trade, an 'export licence' (also referred to as a 'permit' or 'authorization'; see also brokering licence) typically refers to a document issued by a competent national authority, authorizing the export of controlled items (that is, conventional arms and dual-use goods) out of the customs jurisdiction of the licensing state (Parker, 2016, p. 51). (In this context, the definition of 'export' follows that of the MOSAIC Glossary, 2018, p. 12.)
Flag state: The term 'flag state' refers to the country where a vessel is registered. 'This country has extra-territorial jurisdiction over its vessels sailing anywhere in the world by virtue of the nationality principle. Every state has the right to sail ships under its flag and thus participate in international navigation. However, this right comes with certain responsibilities. Flag states are responsible for enforcing international obligations everywhere and exclusively on the high seas over their vessels. This is derived from Article 94 of [the United Nations Convention on the Law of the Sea] which stipulates that "every state shall effectively exercise its jurisdiction and control in administrative, technical, and social matters over ships flying its flag"' (Williams, 2014, p. 2).
Measures: The term 'measures' is used repeatedly throughout the Self-Assessment Tool and should be interpreted to mean legislation, regulations, policies, or administrative procedures that are relevant to the actions or decisions of states in relation to the question at hand.
National authority: The national authority is defined as 'the lead government agency on small arms and light weapons control, which provides political coordination and policy direction for national small arms and light weapons control efforts' (MOSAIC Glossary, 2018, p. 19).
National control List: In its Voluntary Basic Guide to Establishing a National Control System, the Arms Trade Treaty's Working Group on Effective Treaty Implementation defines a 'national control list' as follows: 'A national control list provides definitions of categories of items for which the international transfer is to be controlled. It is a key element of a national control system because a national control list indicates which items are subject to national transfer controls – i.e. items that are prohibited from being exported or imported without the authorization of a competent national authority' (ATT Secretariat, 2019a, p. 6) The contents and definitions of items contained in national control lists can be influenced by multilateral efforts to develop lists of items and technologies to be subject to transfer controls (ATT Secretariat, 2019a, p. 13). For example, Article 5(2) of the ATT requires that '[e]ach State Party shall establish and maintain a national control system, including a national control list, in order to implement the provisions of this Treaty' (UNGA, 2013).
National implementation report (NIR): A 'national implementation report' (NIR) is a periodic report prepared by a UN member state to elaborate on the steps they have taken to carry out the provisions of the UN Security Council sanctions resolutions on the DPRK. In order to assist member states in their efforts to make their national reporting more comprehensive, the 1718 Sanctions Committee published the Implementation Assistance Notice No. 2: Guidelines on the Preparation and Submission of National Implementation Reports in 2018 (UNSC Sanctions Committee 1718, 2018a).
Risk assessment: The term 'risk assessment' refers to 'the overall process comprising a risk analysis [systematic use of available information to identify hazards and to estimate the risk] and a risk evaluation [a process based on risk analysis used to determine whether the tolerable risk has been achieved]' (MOSAIC Glossary, 2018, p. 21).
Transfer: The term 'transfer' is a 'general term encompassing the import, export, transit, transshipment and brokering of small arms or light weapons [including] sales, leases, loans and gifts; re-export, licenced production abroad, and tangible and intangible transfers of equipment and technology for the purpose of producing small arms or light weapons' (MOSAIC Glossary, 2018, p. 27).
Transit: The term 'transit' is defined as the 'movement of goods across the territory of a State as part of a transfer between two other States, including the transloading of the goods at the points of entry into and exit from the transit State' (MOSAIC Glossary, 2018, p. 27).
Transit licence: In the context of the arms trade, a 'transit licence' refers to a document issued by a competent national authority, authorizing any type of transfer of conventional arms, ammunition/munitions and parts and components, including transit and trans-shipment (Parker, 2016, pp. 87–88). This document may take a variety of forms, and in some cases only a notification to the relevant competent national authority is required to validate a transfer request; however, industry best practices recommend that there be some form of authorization (for example, in the form of a 'permit'), in accordance with national law, before any transit or trans-shipment is permitted (WA, 2015, p. 1).
Trans-shipment: The term 'trans-shipment' (also referred to as 'transshipment' or 'transhipment') is defined as the 'transport of goods to an intermediate location outside the exporting and importing States, where they are loaded to a different transport vessel and transported to their final destination (or additional point of transshipment) without crossing the territory of the State in which the transloading takes place' (MOSAIC Glossary, 2018, p. 27).
This tool was developed as part of the Small Arms Survey's Strengthening Implementation and Enforcement of the Arms Embargo on North Korea (SAENK) project, with the support from the Netherlands Ministry of Foreign Affairs.
For further information about the SAENK project, visit the project page on the Small Arms Survey website.
Prepared by
David Atwood and Gian Giezendanner
