Global Policy Forum

Chairmen of the Sanctions Committees

I. Introduction

1. There is a clear need for a discussion by the Security Council on the general issues of sanctions. While the general Assembly considered the recommendations regarding sanctions in the context of its discussion on An Agenda for Peace, the Security Council has yet to address the issues of sanctions in a comprehensive manner. The present issue paper has been prepared by the chairpersons of the Sanctions Committees established by the Security Council. It is based upon experience and is intended as a bass for further discussion with a view to helping the future development of the Security Council's practice regarding sanctions.

II. Undesired side effects

2. Sanctions are designed to change the behaviour of the targeted government (or party) and to deter other governments (or parties) from similar behaviour. However, they often produce undesired side effects for the civilian population, including children. The decisions of the Security Council to impose sanctions imply the Council's obligation to ensure that proper implementation of sanctions does not result in violations of human rights and international humanitarian law, and its responsibility to do all within its power for the respect of the basic economic, social and cultural rights, and other human rights of the affected population.

3. The Sanctions Committees have the responsibility to monitor and assess the humanitarian impact of sanctions in the targeted country. The methods of work of the Committees need to be developed further. Periodical meetings on the humanitarian impact of sanctions (for example, once every six months) might be useful. Particular attention should be paid to cooperation of the targeted government in implementing the measures to alleviate the humanitarian impact of sanctions.

4. The role of the Secretariat in the assessment of the potential humanitarian effects of sanctions needs to be strengthened. The Secretariat should be encouraged to provide, whenever necessary, its assessments. The indicators for assessments already developed by the Secretariat should be used by the Sanctions Committees.

5. The Sanctions Committees should consider the most appropriate ways of utilizing the expertise and the practical assistance of humanitarian organizations and agencies of the humanitarian non-governmental organizations (NGOs). Furthermore, consideration should be given to how NGOs could have the possibility to apply directly to the Sanctions Committees with a view to facilitating the implementation of their humanitarian projects in the targeted countries.

6. The Security Council should, prior to imposing a new sanctions regime, consider the humanitarian impact of sanctions. It would be desirable that the Secretariat submit, in order to help the Security Council in the preparation of the resolutions on sanctions, an impact assessment. The impact assessment would contain assessment on the undesired effects (humanitarian effects, undesired economic effects on neighbouring countries etc.) and on the ways to diminish such effects. In this context, it is necessary to strike the right balance between the requirements of the timely imposition of sanctions and the necessities of humanitarian and other exemptions.

III. Implementation of Sanctions

7. The Sanctions Committees have the central role in the monitoring of the implementation of sanctions. In that regard, the Security Council should give appropriate mandates to the Sanctions Committees in order to establish and improve, as required, monitoring/inspection mechanisms. In addition to the current methods of work of the Sanctions Committees, consideration should be given to such methods as the regular visits of the Chairpersons of the Sanctions Committees to the targeted states, arrangements with the relevant regional and other organisations, including NGOs, as well as with the United Nations agencies and programmes, to obtain all the necessary information about the effect and implementation of sanctions, etc. Visits of the Chairpersons of the Sanctions Committees should also help in sensitising the neighbouring States to the need of implementing sanctions effectively.

8. Sanctions reviews by the Security Council should become more detailed and substantive. They should be based on the assessment made by the Sanctions Committees and all the relevant information. Even when it is clear that modification or termination of sanctions is not possible, the Council should conduct analytical consideration and address specific issues of implementation of the sanctions regimes. The Council should also consider whether sanctions are being fully implemented by all Member States.

9. The transparency of the work of the Security Council and its Sanctions Committees should be improved. The Chairpersons of the Sanctions Committees should hold meetings to discuss the ways to improve transparency of the Committees. Briefings by the Chairpersons of the Sanctions Committees and by the President of the Security Council on sanctions should be as substantive and detailed as possible. Summary records of meetings of the Sanctions Committees should be made available promptly. The Security Council should consider holding periodic (for example, once a year) public meetings for consideration of sanctions reviews. Whenever feasible, information on sanctions should be made available to all interested via the Internet.

10. The Security Council should give the necessary consideration to the question of time-frames and the general aspects of criteria for the termination of sanctions.

IV. Refinement and targeting of sanctions

11. The Security Council should be able to adjust the sanctions regimes to certain legitimate needs such as the humanitarian needs of the affected population, implementation of economic, social and cultural rights, the legitimate needs of the neighbouring States, etc. It is necessary that when such legitimate needs require refinement and modification of sanctions, the modifications be adopted within a reasonable time.

12. Targeted sanctions such as arms embargoes, flight bans, travel bans, freezing of financial assets, etc., are adopted to achieve certain political objectives without inflicting unnecessary hardship on the general population. They represent a valuable alternative to other, more comprehensive types of sanctions. The experience of targeted sanctions gained so far merits careful study and analysis. Specific initiatives in that regard would be extremely welcome.

13. The Security Council should address the basic policy issue of flexibility and graduality in the imposition of sanctions. The experience of recent years and the practice of the Security Council confirm that in many situations - although not necessarily in all of those requiring the imposition of sanctions - it is preferable to use the approach of a targeted and "flexible response" as opposed to "massive retaliation". Given that all the United Nations sanctions currently in operation, with the exception of those imposed on Iraq, are targeted sanctions, it would be useful to take stock of the experience gained and to formulate general guidelines for the future decision-making on sanctions.

14. The Security Council should also study the issues of sanctions imposed by regional organisations. While those sanctions could be effective and efficiently implemented, it is also necessary to consider their humanitarian effects, their contribution to the maintenance of international peace and security and their legal status from the perspective of the United Nations Charter.

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PRACTICAL PROPOSALS TO THE SANCTIONS COMMITTEES
FOR THE IMPROVEMENT OF THEIR WORK

1. The Sanctions Committees should establish appropriate arrangements and channels of communication with organs, organisations and bodies of the United Nations system, as well as other intergovernmental and regional organisations, neighbouring countries and other parties concerned, in order to improve the monitoring of the implementation of sanctions regimes and the assessment of their humanitarian impact.

2.The Chairpersons of the Sanctions Committees should make visits to the regions concerned in order to get first-hand accounts of the impact of sanctions regimes and the results and difficulties of their implementation.

3. The Secretariat should be requested to provide the Sanctions Committees with information from any published source, radio, television or other media concerning alleged violations of the sanctions regimes or other issues relevant to the activities of the Committees.

4.Member States should provide the Sanctions Committees with all information available on violation of arms embargoes.

5.The guidelines of the Sanctions Committees should include clear provisions for strict action to be taken by the Committees on alleged violations of the sanctions regimes.

6.The Sanctions Committees should, as far as possible, harmonise their guidelines and routines of work.

7.The effectiveness of the mandatory measures should be periodically reviewed on the basis of assessments prepared by the Secretariat.

8.The target or affected countries, as well as concerned organisations, should be better able to exercise the right of explaining or presenting their points of view to the Sanctions Committees.

9.The Secretariat should be encouraged to provide, whenever necessary, its assessments on humanitarian effects of sanctions to the Sanctions Committees.

10.Periodic meetings of the Sanctions Committees should be held for discussions on the humanitarian impact of sanctions.

11.The Sanctions Committees should monitor, throughout the sanctions regime, the humanitarian impact of sanctions on vulnerable groups, including children, and make required adjustments of the exemption mechanisms to facilitate the delivery of humanitarian assistance. The indicators for assessment developed by the Secretariat should be used by the Committees.

12.In discharging their mandates, the Sanctions Committees should as much as possible seek to utilise the expertise and practical assistance of humanitarian organisations, agencies and NGOs.

13.United Nations agencies, NGOs and other humanitarian organisations should benefit from special, simplified procedures in requesting humanitarian exemptions, in order to facilitate the implementation of their humanitarian programmes.

14.Consideration should be given to how NGOs could have the possibility to apply for humanitarian exemptions directly to the Sanctions Committees.

15.A generic list of humanitarian items to be exempted in all cases should be elaborated, in addition to exemptions decided upon by the Sanctions Committees in each particular case.

16.Consideration should be given to how exemptions to sanctions regimes on religious grounds could be granted

17.The transparency of the Sanctions Committees' work should be increased, inter alia through substantive and detailed briefings by their Chairpersons.

18.Summary records of the Sanctions Committees' meetings should be made available promptly.

19.Information on the Sanctions Committees' work should be made available on the Internet.