UN SanctionsON Iran and DPRK:Implementation Manual

Sponsored by:

The Government of CanadaDepartment of Foreign Affairs and Trade

Global Peace and Security Fund

Coordination:

Developed by:

PURPOSE

DPRK Sanctions Regime Iran Sanctions Regime

intendedfor free

distribution to representatives of

UN Member States

International organizations Companies and corporations

Searchable reference data

Layperson’s language

Annexed material

Manual is intended

to

Political language of sanctions resolutions Technical language of list of prohibited

commodities

Raise awareness

Inform and educate

Offer on-line sanctions implementation-assistance tools

And offers

to close the gap Between

UN non-proliferation sanctions

Case studies of DPRK and Iran proliferation methodologies Compliance obligations

Catch-all provision

Best sanctions compliance practices for: Member State reporting

Border Control practitionersTransport industry regulators and practitioners Finance industry regulators and practitioners

ContentOf

Manual

Sanctions on Iran – UNSC resolution provisions and exemption procedures

Sanctions on the DPRK – UNSC resolution provisions and exemption procedures

Prohibited nuclear components identification guide

Prohibited nuclear-related dual-use equipment, material, software and related technology

Prohibited ballistic missile technologies identification guide

Prohibited chemical and biological weapons components identification guide

ContentOf

Annexes

Biological weapons use pathogens (diseases) to attack the cells and organs of humans, animals or plants (crops), while toxic weapons use poisons to kill living organisms

Chemical weapons attack the nervous system and lungs of humans, and are usually dispersed by gas, but also may be transmitted through liquids or solids

Manual explains three categories of WMD …

Nuclear weapons areexplosive devices, which deliver high intensity heat, blast, radiation and radioactive fallout

Range of at least 300 km Payload of at least 500 kg

…PlusWMD Delivery Systems

Typically ballistic missiles are the primary means of delivery of nuclear weapons and sometime are also employed to transport other categories of WMD.

Sanctions and Disarmament

Non-Proliferation Treaty (NPT) Partial Test Ban Treaty (PTBT)

Comprehensive Nuclear-Test-Ban Treaty (CTBT) Biological Weapons Convention (BWC) Chemical Weapons Convention (CWC)

Beyond Sanctions:Containing WMD proliferation Through multilateral treaties

One UN priority: global WMD disarmament

No Treaty but support mechanisms to contain spread of ballistic missiles

Hague Code of Conduct against Ballistic Missile Proliferation (HCOC)

Missile Technology Control Regime (MTCR)

Supporting WMD Disarmament

and Non-proliferation

agenda

Atomic Energy Agency (IAEA) United Nations Office for Disarmament Affairs (UNODA) Organization for the Prohibition of Chemical Weapons (OPCW) Implementation Support Unit (ISU) for the Biological Weapons

Convention

MTCR Missile Technology Control RegimeNSG Nuclear Suppliers GroupAG Australia GroupWA Wassenaar Arrangement

1540 Resolution 1540 Panel of Experts

Sanctions against the DPRK and Iran

Iran ratified the NPT in 1970 DPRK ratified the NPT in 1985.

the DPRK withdrew from the NPT in 2003

conducted three nuclear tests in 2006, 2009 and 2013 at the Punggye-ri Nuclear Test Site

frequent test firings of ballistic missiles

Why

Iran has not cooperated with IAEA,

at times has denied access to inspection teams

frequent test firings of ballistic missile

coercing the DPRK to change its WMD-proliferation policies

coercing Iran to change its suspected proliferation of nuclear and ballistic missile technology

deny and constrain the DPRK in the acquisition of non-conventional and conventional arms

deny and constrain

financing and transportationin support of WMD proliferation and

embargoed conventional arms.

Purposes ofDPRK andIranSanctions

Two-way embargo of conventional arms DPRK: Two-way embargo of WMD Iran: Two-way embargo of nuclear and ballistic missile technology Travel ban against listed individuals Financial sanctions against listed individuals and entities Ban on financial services, transfer of assets or insurances services that could help to support the prohibited WMD-program or the evasion of sanctions Ban on luxury goods

SpecificSanctionsMeasuresOn DPRKAnd Iran

DPRKcurrently listed:

12 individuals 19 entities

Irancurrently listed:

35 individuals 73 entities

P5+1 Joint Plan of Action

Terms of 6-month agreement

Implementation obligation on UN Member States remains in place

So far - no impact on the implementation of UN 1737 sanctions regime

So far - no new sanctions language to ease or lift measures in force

Lists of prohibited items

See Annex III See Annex IV

UN document INFCIRC254Rev.11Part

1 covers nuclear equipment, materials,

technologies

UN document INFCIRC254/Rev. 8/ Part

2 covers the transfer of nuclear-

related dual-use equipment, materials, software, and related

technology

Sanctions against nuclear weapons proliferation

supply of these

restricted items to and from Iran and

DPRK violate

UN Sanctions

See Annex III See Annex IV

Missile Technology Control Regime Annex Handbook of 2010 serves as the basis for the UN list of restricted items, the S/2012/947

No international treaty exists

regulating ballistic missiles

Sanctions against Proliferation of ballistic Missiles technology

See Annex V

Prohibited items, materials, equipment, goods, and technology related to ballistic missile weapons and drone programs

supply of these

restricted items to and from

Iran and DPRK violate

UN-Sanctions

See Annex V

The UN list, document S/2006/853 covers Chemical Weapons Precursors Dual-use chemical manufacturing facilities and equipment and related technology and software Dual-use biological equipment / related technology and software Human and Animal Pathogens and Toxins Plant pathogens

supply Of these restricted

items to the DPRK

violates UN

Sanctions

See Annex VI

Sanctions against the proliferation of chemical and biological weapons

Widely available lower-level technology such as unrestricted components, technology,software,proliferation-relevant information….

The “Catch-all”Provision

….that could meaningfully contribute to the research, development, construction,

use, and maintenance of a WMD program…

…imposes under the “catch-all” provision

on the supplier a regulatory

and legal requirement to obtain

an export license from his government

If answer to any one question is yes = obtain an export license …

Three criteria to “Catch-all”

…will enable unsafeguarded nuclear activities and explosives, design, development, production, stockpilinguse of ballistic missiles, drones, chemical biological weapon…

Do inquiries with the recipient, in the public and confidential records, or past conduct of the recipient of the item give reasons to believe that an export….

…end-usein Iran or the DPRK?

… may create an

unacceptable risk of an

WMD-embargo violation…

…or risk that supply

Of Unlicenseditems to the

DPRKor Iran violates

UN Sanctions

Patterns and methodologiesOf WMD proliferation

Sea-, airport, and road-access To the DPRK

Airports

Road - Rail

Sea Ports

Commercial airline: Air Koryo

Sea-, airport, and road-access To Iran

Commercial airlinesAirports andRoad Access:numerous

Sea Ports

One third of the DRPK’s foreign sales of

WMD technologies appears to go to the Syrian Arab Republic

Identification of government agencies, military

units, auxiliary and parastatal organizations,

front-companies, airline and shipping companies, diplomatic communities and expat networks

Bilateral Memorandum of Understandingto facilitatescientific and technological assistance between the DPRK and the Islamic Republic of Iran

Characteristics of DPRK and Iran Procurement

efforts

High quality valves high-strength carbon fibers Process control equipment

Stainless steel components and cables Stainless steel bellows

Programmable logic controller Process control equipment and software

And Iran

Computer numerically controlled technology Horizontal machining center Ballistic missile design data Liquid propellant engines Cylindrical grinding machines Automatic direct current magnetization characteristics recorder

items of particular

interest to the DPRK

Best WMD-Sanctions Implementation

Practices

Indicators for suspicious activities

Best Practices State Implementation Reporting

Customs and border control practitioners: Recognized Diversion Strategies

Financial Sector, Intermediaries, Insurances and Broker and Regulators

Air and Maritime Transportation industry

Researchers:

Diane Barkley, Aleandro Carisch, William J. Haynes, III, Bryan Knouse, Shawna Meister, Niall P. MurphyLindsey G. Zeichner

Peer Reviewers:

Christine Lee George Lopez

Peter ScottChristine Wing

Acknowledgments

Government of Canada

International Peace Institute

Security Council Report