Flip Side of the Denuclearization CoinMaking Sense of UN Sanctions on North Korea
In contrast to the fast pace of nuclear weapon and long-range missile tests conducted by North Korea the previous year, 2018 has seen a flurry of diplomatic activity aimed at ending the country’s isolation. The primary focus of U.S. attention has been on whether or not North Korea will agree to verifiably dismantle nuclear and missile programs in exchange for security guarantees and diplomatic normalization, but implicit in this is if, when, and how to roll back multilateral sanctions that have stifled North Korea’s economy.
The interactive below outlines the sanctions imposed by the United Nations Security Council on North Korea over the past twelve years, on top of earlier sanctions. It allows the reader to navigate by resolution or by type of sanction, and to see the cumulative effect at any point in time. The purpose is to help users understand what is currently required of UN members with regard to economic engagement with the North, how pressure on Pyongyang has built up over time, and what active measures can be taken if countries want to trade sanctions relief for steps to reduce—and ultimately eliminate—the North Korean nuclear threat.
Viewing Resolution
Resolutions
UN Resolution #2397, Passed on December 22, 2017
UNSC Resolution 2397 condemned in the strongest terms the ballistic missile launches by the DPRK on November 28, 2017. These sanctions are grouped into categories below; lists are not meant to be comprehensive. Click “Read More” to view the relevant text describing the materials covered by the sanction.
RESTRICTIONS ON EXPORTS TO NORTH KOREA INCLUDE:
AVIATION FUEL
States shall prevent the sale or supply of aviation fuel including aviation gasoline, with certain exceptions such as the sale or supply of aviation fuel to civilian passenger aircraft outside the DPRK exclusively for immediate consumption.
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CONDENSATES AND NATURAL GAS LIQUIDS
States shall prohibit the direct or indirect supply, sale or transfer to the DPRK of all condensates and natural gas liquids, and the DPRK shall not procure such items.
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UPDATED
CRUDE OIL
States shall prohibit the direct or indirect supply, sale or transfer to the DPRK of crude oil, and the DPRK shall not procure such items, beyond 4 million barrels or 525,000 tons in the aggregate per 12-month period, unless approved by the 1718 Sanctions Committee.
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LUXURY GOODS
Luxury goods include items such as jewelry, yachts, luxury automobiles, luxury watches, recreational sports equipment, and certain porcelain or bone china tableware.
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UPDATED
HELICOPTERS AND VESSELS
States shall prevent the direct or indirect supply, sale or transfer to the DPRK of new helicopters, or any new or used vessels, except as approved by the 1718 Sanctions Committee in advance.
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NEW
OTHER MANUFACTURING GOODS
States shall prohibit the direct or indirect supply, sale or transfer to the DPRK of all industrial machinery, transportation vehicles, and iron, steel, and other metals, with certain exceptions.
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UPDATED
REFINED PETROLEUM PRODUCTS
States shall prohibit the direct or indirect supply, sale or transfer to the DPRK of all refined petroleum products, and the DPRK shall not procure such items, beyond the limit of 500,000 barrels per year with certain conditions.
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ALL ARMS
Related materials and services such as financial transactions, technical training, and brokering are prohibited. Shipment of such items to or from the DPRK for repair, servicing, and so on are also prohibited.
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ANY ITEM CONTRIBUTING TO MILITARY CAPABILITIES EXCL. FOOD OR MEDICINE
States shall prevent export to and import from the DPRK any item that they determine could support or enhance the operational capabilities of armed forces, unless such items are for humanitarian purposes or permitted by the 1718 Sanctions Committee.
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DESIGNATION OF ADDITIONAL GOODS
The 1718 Sanctions Committee is directed to designate additional goods.
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WMD-RELATED AND DUAL-USE ITEMS
These include items that can contribute to DPRK's nuclear-related and other WMD-related programs (including certain dual-use items and items that states determine can have aforementioned effects). Related services such as technical training and brokering are prohibited. Shipment of items for repair, servicing, and so on are also prohibited.
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TRANSFER OF ITEMS INVOLVING A DESIGNATED INDIVIDUAL OR ENTITY
The transfer of any item is prohibited if there are reasonable grounds to believe that a designated individual or entity is the originator, intended recipient, or facilitator of the item’s transfer.
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RESTRICTIONS ON IMPORTS FROM NORTH KOREA INCLUDE:
UPDATED
COAL, IRON, IRON ORE
States shall prohibit the import from the DPRK of coal, iron, iron ore, unless the coal is transported through the DPRK solely for export from the Port of Rajin.
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LEAD AND LEAD ORE
States shall prohibit the import from the DPRK of lead and lead ore.
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UPDATED
OTHER MANUFACTURING GOODS
States shall prohibit the import from the DPRK of statues (no 30-day exception), textiles (no 30-day exception), food and agricultural products, machinery, electrical equipment, earth and stone including magnesite and magnesia, wood, and vessels, unless such transactions are permitted by the 1718 Sanctions Committee in advance or commodities for which written contracts have been finalized are imported into states' territory within a timeframe of 30 days with proper notification.
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OTHER METALS
States shall prohibit the import from the DPRK of copper, nickel, silver, and zinc.
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PRECIOUS METALS AND RARE EARTH MINERALS
States shall prohibit the import from the DPRK of gold, titanium ore, vanadium ore, and rare earth minerals.
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SEAFOOD
States shall prohibit the import from the DPRK of seafood (including fish, crustaceans, mollusks, and other aquatic invertebrates).
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ALL ARMS
Related materials and services such as financial transactions, technical training, and brokering are prohibited. Shipment of such items to or from the DPRK for repair, servicing, and so on are also prohibited.
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ANY ITEM CONTRIBUTING TO MILITARY CAPABILITIES EXCL. FOOD OR MEDICINE
States shall prevent export to and import from the DPRK any item that they determine could support or enhance the operational capabilities of armed forces, unless such items are for humanitarian purposes or permitted by the 1718 Sanctions Committee.
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DESIGNATION OF ADDITIONAL GOODS
The 1718 Sanctions Committee is directed to designate additional goods.
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WMD-RELATED AND DUAL-USE ITEMS
These include items that can contribute to DPRK's nuclear-related and other WMD-related programs (including certain dual-use items and items that states determine can have aforementioned effects). Related services such as technical training and brokering are prohibited. Shipment of items for repair, servicing, and so on are also prohibited.
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TRANSFER OF ITEMS INVOLVING A DESIGNATED INDIVIDUAL OR ENTITY
The transfer of any item is prohibited if there are reasonable grounds to believe that a designated individual or entity is the originator, intended recipient, or facilitator of the item’s transfer.
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FINANCIAL AND ECONOMIC RESTRICTIONS INCLUDE:
UPDATED
ASSET FREEZE
The asset freeze covers funds and other resources (including intangible assets) owned or controlled by designated persons or entities as well as entities of the DPRK government and the Worker's Party of Korea engaging in or providing support for prohibited WMD-related activities and by those acting on their behalf, with certain exceptions. Representative offices of designated entities should be closed. The use of real property by the DPRK is limited to diplomatic or consular purposes.
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DPRK BANKS
States shall prohibit DPRK banks from opening new branches, subsidiaries, or representative offices in their territories and their financial institutions from taking ownership interest in or establishing/maintaining correspondent relationships such as joint ventures with DPRK banks, unless approved by the 1718 Sanctions Committee in advance. State should have closed such existing operations within 90 days from the adoption of Resolution 2270.
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UPDATED
DPRK WORKERS
States shall repatriate to the DPRK all DPRK nationals earning income and all DPRK government safety oversight attachés monitoring DPRK workers abroad immediately but no later than 24 months unless such repatriation is prohibited, subject to applicable national and international law, in order to prevent them from generating foreign export earnings that can be used for prohibited activities.
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FINANCIAL SERVICES AND TRANSFER OF ANY ASSETS OR RESOURCES
States shall prevent the provision of financial services or the transfer of any assets or resources (including bulk cash) that could contribute to prohibited activities by freezing assets and enhancing monitoring.
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FINANCIAL SUPPORT FOR TRADE
States shall prohibit the provision of public and private financial support for trade with the DPRK, except as approved by the 1718 Sanctions Committee in advance.
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FOREIGN FINANCIAL INSTITUTIONS IN THE DPRK
States shall prohibit their financial institutions from operations such as opening new representative offices or subsidiaries or bank accounts in the DPRK. States should have taken necessary measures to close such existing operations within 90 days from the adoption of Resolution 2321, unless permitted by the 1718 Sanctions Committee based on humanitarian or diplomatic reasons.
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JOINT VENTURE
States shall prohibit, by their nationals or in their territories, the opening, maintenance, and operation of all joint ventures or cooperative entities, new and existing, with DPRK entities or individuals, unless approved by the 1718 Sanctions Committee in advance. States shall close such existing joint venture or cooperative entity within 120 days from the adoption of Resolution 2375, with certain exceptions.
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NEW GRANTS, FINANCIAL ASSISTANCE, ETC. TO THE DPRK
International organizations are called upon not to enter new commitments, except for humanitarian and civilian needs or to promote denuclearization, and to exercise enhanced vigilance with a view to reducing current commitments.
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OTHER BUSINESS OPERATIONS
States should have taken the necessary measures to close existing representative offices, subsidiaries or bank accounts in the DPRK within 90 days from the adoption of Resolution 2321, unless permitted by the 1718 Sanctions Committee based on humanitarian or diplomatic reasons.
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SCIENCE AND TECHNOLOGICAL COOPERATION
States shall suspend scientific and technical cooperation involving persons or groups officially sponsored by or representing the DPRK except for medical exchanges, with certain exceptions.
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SPECIALIZED TEACHING OR TRAINING
States shall prohibit the provision of specialized teaching or training to DPRK nationals in disciplines which could contribute to proliferation, such as advanced physics, advanced computer simulation, geospatial navigation, and advanced mechanical engineering.
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VESSELS AND MISCELLANEOUS RESTRICTIONS INCLUDE:
CARGO/VESSEL INSPECTION ON THE HIGH SEAS
States are called upon to inspect all vessels on the high seas (carried out by warships and ships or aircraft on government service) given reasonable evidence for prohibited activities, and to cooperate with such inspections. If the flag state does not consent to inspection on the high seas, it shall direct the vessel to a port for inspection. If non-compliance happens, states shall report such incidents to the 1718 Sanctions Committee, which shall consider designating the vessel and require other actions.
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UPDATED
CARGO/VESSEL INSPECTION WITHIN STATES’ TERRITORY
States shall inspect all DPRK-linked cargo (including personal luggage) within or transiting through their territory. States shall seize, inspect, and freeze (impound) any vessel in their ports or subject to its jurisdiction in its territorial waters, given reasonable evidence for prohibited activities.
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DPRK DIPLOMATIC MISSION OR PERSONNEL
States are called upon to reduce the number of staff at DPRK diplomatic missions and consular posts, to limit the number of bank accounts to one per mission and consular post/diplomat and consular officer, and to exercise enhanced vigilance over DPRK diplomatic personnel to prevent them from contributing to prohibited activities. The use of real property by the DPRK is limited to diplomatic or consular purposes.
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UPDATED
DPRK VESSELS
States shall prohibit their nationals from registering vessels in the DPRK, obtaining authorization for a vessel to use the DPRK flag, and from owning, leasing, or operating any vessel flagged by the DPRK (including chartering vessels), unless approved by the 1718 Sanctions Committee in advance.
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UPDATED
ENTRY AND TRANSIT BY DESIGNATED PERSONS
States shall deny entry and transit by designated persons who are responsible for DPRK policies connected to its WMD-related programs, their family members, those working on behalf of designated individuals or entities, and those engaging in prohibited activities. Exceptions can be made for a state's own nationals and for humanitarian purposes.
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ENTRY AND TRANSIT BY OTHER DPRK PERSONS
States shall take steps to restrict the entry into or transit through their territory of members and officials of the DPRK government and the armed forces, if states determine that such individuals are associated with prohibited activities.
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ENTRY BY VESSELS
States shall deny a vessel entry to their ports if it has failed to cooperate with an inspection pursuant to UN resolutions, or if there is reasonable evidence that it is owned or controlled by designated individuals or entities, or contains prohibited cargo. Exceptions can be made for the purpose of inspection or in the case of emergency. States are also required to report non-compliance.
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EXPULSION OF CERTAIN INDIVIDUALS
States shall expel nationals from DPRK or other states (including DPRK diplomats) if such individuals are designated persons or if states determine that they are working on behalf of individuals or entities engaging in prohibited activities (including DPRK financial institutions), with certain exceptions.
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UPDATED
NON-DPRK VESSELS
States shall prohibit their nationals from leasing or chartering their flagged vessels or aircraft to the DPRK (including individuals and entities engaging in prohibited activities), unless approved by the 1718 Sanctions Committee in advance. States shall de-register any vessel that is owned, operated or crewed by the DPRK, and not to register any such vessel that is de-registered by another state.
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PERMISSION TO AIRCRAFTS TO TAKE OFF, LAND, OR OVERFLY
States shall deny permission to aircrafts to take off, land in or overfly their territory, given reasonable evidence for prohibited activities, except under the condition of landing for inspection or in the case of an emergency landing. States are called upon to assess known risk factors when granting overflight permission.
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UPDATED
SEIZURE AND DISPOSAL OF PROHIBITED ITEMS
States are authorized to and shall seize and dispose prohibited items identified in cargo inspection. All states are required to cooperate in such efforts. Disposal includes such methods as destruction and transferring to certain states for disposal.
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SHIP-TO-SHIP TRANSFERS
States shall prohibit their nationals and vessels flying their flag from facilitating or engaging in ship-to-ship transfer with DPRK-flagged vessels of any goods or items.
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VESSEL CREW SERVICES
States shall prohibit the provision of crew services to the DPRK (including individuals and entities engaging in prohibited activities), unless approved by the 1718 Sanctions Committee in advance. States shall prohibit their nationals from procuring vessel and aircraft crewing services from the DPRK.
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UPDATED
VESSEL INSURANCE SERVICES
States shall prohibit the provision of insurance to vessels flagged by the DPRK or vessels that are reasonably believed to be involved in prohibited activities, unless approved by the 1718 Sanctions Committee.
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UPDATED
VESSEL CLASSIFICATION SERVICES
States shall prohibit the provision of any vessel classification, certification or associated service to vessels flagged by the DPRK or vessels that are reasonably believed to be involved in prohibited activities, unless approved by the 1718 Sanctions Committee.
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OTHER VESSEL-RELATED SERVICES
Bunkering services such as the provision of fuel or supplies, or other servicing of vessels, to DPRK vessels are prohibited given reasonable evidence for prohibited activities, unless necessary for humanitarian purposes or until the removal of such concerns.
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UPDATED
VESSELS ENGAGED IN PROHIBITED ACTIVITIES
The 1718 Sanctions Committee may require the following measures with respect to vessels it designates, given reasonable evidence for prohibited activities: 1) the flag state shall de-flag the vessel; 2) the flag state shall direct the vessel to a port identified by the 1718 Sanctions Committee; 3) the vessel shall be subject to the asset freeze; and always requires that 4) states shall deny the entry of the vessel unless in case of emergency or permitted by the 1718 Sanctions Committee in advance based on humanitarian or other reasons. States having information to suspect prohibited activities may request additional maritime and shipping information from other relevant states, and states receiving such inquiries shall respond promptly. States shall report any encounter of vessels subject to actions under UN resolutions.
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TRANSFER OF ITEMS INVOLVING A DESIGNATED INDIVIDUAL OR ENTITY
The transfer of any item is prohibited if there are reasonable grounds to believe that a designated individual or entity is the originator, intended recipient, or facilitator of the item’s transfer.
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UN ResolutionsResolution #825Passed May 11, 1993
Resolution #1695Passed June 15, 2006
Resolution #1718Passed Oct 14, 2006
Resolution #1874Passed Jun 12, 2009
Resolution #2087Passed Jan 22, 2013
Resolution #2094Passed March 7, 2013
Resolution #2270Passed March 2, 2016
Resolution #2321Passed Nov 30, 2016
Resolution #2356Passed June 2, 2017
Resolution #2371Passed Aug 5, 2017
Resolution #2375Passed Sept 3, 2017
Resolution #2397Passed Dec 22, 2017
About the Authors
At the Department of Defense, Schoff was responsible for strategic planning and policy development for relations with Japan and the Republic of Korea. He also spearheaded trilateral initiatives and regional security cooperation issues, including North Korea and missile defense, disaster relief, and maritime security.
Feng Lin is a James C. Gaither junior fellow in Carnegie’s Asia Program. His work focuses on the Chinese economy and Japanese politics.
About this Interactive
The UN Security Council has layered on ten rounds of increasingly stringent sanctions on North Korea in response to prohibited nuclear weapon and missile tests, and now cumulatively targets nearly 100 percent of North Korean exports and significantly restricts imports of oil, luxury goods, and all industrial machinery. North Korean ships are subject to inspection wherever they go in the world, and tens of thousands of North Korean laborers abroad are required to return home, denying the Kim regime of an alternate source of foreign currency. North Korean access to the international financial system is strictly limited.
U.S. and South Korean diplomats have already had to seek certain exemptions to UN-authorized sanctions in 2018 just to hold various leadership summits and preparatory meetings, and U.S. President Donald Trump suggested after his meeting with North Korean Vice Chairman Kim Yong-chol that economic aid could flow to North Korea relatively soon in return for progress in denuclearization, raising questions about how and under what authority this could be done. The interactive can help inform a wider public discussion regarding various options and the pros and cons of pursuing them.
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