The United Nations Security Council has passed 21 Security Council resolutions concerning North Korea since 2006, when the first resolution of the current crisis – resolution 1718 – was adopted by consensus in response to the nuclear test of 9 October 2006. The sanctions resolutions oblige UN Member States to implement sanctions measures with the goal of targeting North Korea’s ability to pursue its nuclear, missile, and conventional military programs.
Categories of Sanctions Measures
United Nations sanctions on North Korea are composed of a broad range of measures that countries must implement to be compliant with their United Nations obligations. The measures target and counter the various ways in which North Korea finances, develops, tests, and uses its weapons programs.
Arms and Related Materiel
Legally Binding
- North Korea is prohibited from exporting all conventional arms
- North Korea is prohibited from importing all conventional arms
- North Korea is prohibited from importing helicopters and vessels
Sanctions Measures: Conventional Arms and Services
Pursuant to the UN arms and related materiel embargo on North Korea, Member States are prohibited from:
- Selling, supplying or transferring small arms and light weapons and their related materiel to North Korea;
- Conducting financial transactions related to the above;
- Providing technical training to North Korea including hosting trainers, advisors, or other officials for the purpose of military-, paramilitary- or police-related training;
- Providing services or assistance related to the provision, manufacture, maintenance or use of arms and related materiel;
- Shipping items to or from North Korea for repair, servicing, refurbishing, testing, reverse-engineering and marketing.
Furthermore, all Member States must apply a “catch-all” clause on the supply, sale or transfer of any item if it is determined that such an item could directly contribute to the development of North Korea's operational capabilities of its armed forces, or to exports that support or enhance the capabilities of armed forces of another Member State outside North Korea.
Exemptions
Pursuant to paragraph 8 (a) and (b) of Security Council Resolution 2270 (2016), there are three exemptions to the arms and related materiel embargo:
- Food or medicine
- Activity exclusively for humanitarian or livelihood purposes, which will not be used by North Korean individuals or entities to generate revenue, and is also not related to any activities prohibited by relevant resolutions
- 1718 Committee case-by-case determination
In addition, Member States must notify the Committee in advance of such determination and inform the Committee of measures taken to prevent the diversion of the item for other purposes.
Diplomatic Missions & Personnel
Legally Binding
- UN Member States are required to expel North Korean diplomats and foreign nationals involved in illicit activities.
- Designated North Korean individuals are prohibited from traveling abroad
Sanctions Measures: Diplomats, Foreign Nationals, and Representative Offices
Pursuant to the UN proliferation network measures imposed on North Korea, Member States are required to:
- Expel North Korean diplomats, government representatives and other North Korean nationals acting in a governmental or representative office capacity
- Expel foreign nationals that are working on behalf or at the direction of a designated person and/or entity or of a person and/or entity assisting in sanctions evasions or violating the resolutions
- Close the representative offices of designated persons and entities, as well as of any persons or entities acting on behalf of such designated persons or entities, as well as prohibit them from participating in joint ventures and any other business arrangements.
Exemptions: paragraph 13 and paragraph 14 of resolution 2270 (2016)
- Transit of representatives of the Government of North Korea to the UN Headquarters or other UN facilities to conduct UN business
- The presence of the individual is required for fulfillment of a judicial process
- The presence of the individual is required exclusively for medical, safety or other humanitarian purposes
- The Committee has determined on a case-by-case basis that the expulsion of the individual would be contrary to the objectives of relevant resolutions
Sanctions Measures: Staff, Transit, Bank Accounts, Property
Member States are also required to:
- Reduce the number of staff at North Korean diplomatic missions and consular posts
- Restrict the entry into or transit through their territory of North Korean government members and officials, members of the North Korean armed forces, or members/officials associated with prohibited programs or activities, as determined by the Member State
- Limit the number of bank accounts (in their territory) to one per North Korean diplomatic mission and consular post, and one per accredited North Korean diplomat and consular officer
- Prohibit North Korea from using real property (owned or leased) in their territory for non-diplomatic or consular activities’ purposes
Interdiction and Transportation
Legally Binding
- UN Member States are required to inspect vessels and aircraft suspected of being engaged in illicit conduct
Sanctions Measures: Cargo Inspection
Pursuant to the UN interdiction and transportation measures imposed on North Korea, Member States are:
Required to inspect cargo destined to or originating from North Korea or brokered by North Korea that is within or transiting their territories. This includes items that are being transported on North Korean-flagged aircraft or vessels, transported by rail and by road, as well as the personal luggage and checked baggage of individuals entering into or departing from North Korea that may be used to transport items the supply, sale or transfer of which is prohibited.
Exemptions: None
Sanctions Measures: Leasing and Chartering
Prohibited from leasing, chartering their flagged vessels, aircraft or providing crew services to North Korea, designated persons and entities, or any persons or entities who the Member State determines have assisted in sanctions evasions or in violation of the resolutions
Exemptions: paragraph 8 of resolution 2321 (2016)
- Approved in advance by the Committee on a case-by-case basis
Sanctions Measures: Crew Services
Prohibited from procuring vessel and aircraft crewing services from North Korea
Exemptions: None
Sanctions Measures: North Korean Vessel De-registration
Required to de-register any vessel that is owned or operated by North Korea and not to register any such vessel that is de-registered by another Member State.
Exemptions: None
Sanctions Measures: Vessel De-registration
Required to de-register any vessels they have reasonable grounds to believe were involved in activities or the transport of items prohibited by the relevant resolutions. Member States should not register any such vessel that has been de-registered by another Member State.
Exemptions: paragraph 12 of resolution 2397 (2017)
- Approved in advance by the Committee on a case-by-case basis
Sanctions Measures: Vessel Registration in North Korea
Required to prohibit their nationals, entities and persons within their territory from registering vessels in North Korea, to obtain authorization for a vessel to use the North Korean flag or to charter vessels flagged by North Korea.
Exemptions: paragraph 9 of resolution 2321 (2016)
- Approved in advance by the Committee on a case-by-case basis
Sanctions Measures: North Korean Vessel Ownership, Operation, and Related Services
Prohibited from owning, leasing, operating, chartering, or providing vessel classification, certification or associated service and insurance or re-insurance, to any North Korean-flagged, owned, controlled or operated vessel.
Exemptions: paragraph 22 of resolution 2321 (2016)
- Committee determines on a case-by-case basis that the vessel is engaged in activities exclusively for livelihood purposes which will not be used by North Korean individuals or entities to generate revenue or exclusively for humanitarian purposes
Sanctions Measures: Vessel Insurance or Re-insurance
Required to prohibit the provision of insurance or re-insurance services to vessels they have reasonable grounds to believe were involved in activities or the transport of items prohibited by the relevant resolutions.
Exemptions: paragraph 11 of resolution 2397 (2017)
- Committee determines on a case-by-case basis that the vessel is engaged in activities exclusively for livelihood purposes which will not be used by North Korean individuals or entities to generate revenue or exclusively for humanitarian purposes
Sanctions Measures: Aircrafts
Required to deny permission to any aircraft to take off from, land in or overfly their territory if they have information that provides reasonable grounds to believe that the aircraft contained prohibited items.
Exemptions: paragraph 21 of resolution 2270 (2016)
- In the case of an emergency landing
Sanctions Measures: Ports
Required to deny port entry if they have information that provides reasonable grounds that the vessel is owned, controlled, directly or indirectly, by a designated individual and/or entity.
Exemptions: paragraph 22 of resolution 2270 (2016)
- In the case of emergency
- In the case of return to its port of origination
- For inspection
- Committee determines in advance that such entry is required for humanitarian purposes or any other purposes consistent with the objectives of relevant resolutions
Sanctions Measures: Vessel Designation Actions
The Committee, if it has information that provides reasonable grounds to believe that the vessel(s) are or have been related to prohibited programs or activities, and pursuant to the vessels’ designation, will require any or all of the following actions: de-flagging of the vessel(s) by the Flag State; directing the vessel(s) to a port identified by the Committee (in coordination with the port State) by the Flag State; the prohibition of the vessel(s) entering into ports by Member States; and for the vessel(s) to be subject to assets freeze.
Exemptions: paragraph 12 of resolution 2321 (2016)
- In the case of emergency
- In the case of return to its port of origination
- Direction by the Committee
Sanctions Measures: Vessel Designation
The Committee may designate vessels for which it has information indicating they are, or have been, related to activities prohibited by the relevant resolutions.
All Member States are required to prohibit the entry into their ports of such designated vessels.
Exemptions: paragraph 6 of resolution 2375 (2017)
- In the case of emergency
- In the case of return to its port of origination
- Committee determines in advance that such entry is required for humanitarian purposes or any other purposes consistent with the objectives of relevant resolutions
Sanctions Measures: Vessel Inspections on the High Seas
Member States are called upon to inspect vessels with the consent of the flag State, on the high seas, if they have information that provides reasonable grounds to believe that the cargo of such vessels contains items the supply, sale, transfer or export of which is prohibited by the relevant resolutions.
All States are called upon to cooperate with inspections and, if the flag State does not consent to inspection on the high seas, decides that the flag State shall direct the vessel to proceed to an appropriate and convenient port for the required inspection by the local authorities, and decides further that, if a flag State neither consents to inspection on the high seas nor directs the vessel to proceed to an appropriate and convenient port for the required inspection, or if the vessel refuses to comply with flag State direction to permit inspection on the high seas or to proceed to such a port, then the Committee shall consider designating the vessel for the measures imposed in paragraph 8 (d) of resolution 1718 (2006) and paragraph 12 of resolution 2321 (2016) and the flag State shall immediately deregister that vessel provided that such designation has been made by the Committee.
All Member States are required, when it does not receive the cooperation of a flag State of a vessel, to submit promptly to the Committee a report containing relevant details.
Exemptions: paragraph 12 of resolution 2375 (2017)
- Applies only with respect to the situation in North Korea and shall not affect the rights, obligations, or responsibilities of Member States under international law, including any rights or obligations under the United Nations Convention on the Law of the Sea of 10 December 1982, with respect to any other situation
- This resolution shall not be considered as establishing customary international law
Sanctions Measures: Vessel Inspections at Port
All Member States are required to seize, inspect, and freeze (impound) any vessel in their ports, and may do so with any vessel subject to their jurisdiction in their territorial waters if they have reasonable grounds to believe that the vessel was involved in activities, or the transport of items, prohibited by the relevant resolutions.
Exemptions: paragraph 9 of resolution 2397 (2017)
- After six months from the date such vessels were frozen (impounded), this provision shall not apply if the Committee decides, on a case-by-case basis and upon request of a flag State, that adequate arrangements have been made to prevent the vessel from contributing to future violations of these resolutions
Sanctions Measures: Ship-to-Ship Transfers
All Member States are required to prohibit their nationals, persons subject to their jurisdiction, entities incorporated in their territory or subject to their jurisdiction, and vessels flying their flag, from facilitating or engaging in ship-to-ship transfers to or from North Korean-flagged vessels of any goods or items that are being supplied, sold, or transferred to or from North Korea.
Exemptions: None
Sanctions Measures: Information Sharing
All Member States should improve mutual information-sharing on suspected attempts by North Korea to supply, sell, transfer or procure illicit cargo, with support and facilitation by the 1718 Committee and the Panel of Experts.
All Member States are required to notify the Committee of relevant identifying information as well as measures taken to carry out appropriate actions as authorized by the relevant provisions regarding vessels in their territory or on the high seas designated as subject to the assets freeze, the port entry ban or other relevant measures.
Exemptions: None
Assets Freeze, Disposal of Seized Items, Travel Ban
Legally Binding
- Member States are required to freeze the assets, funds, and economic resources of the North Korean Government and Korean Workers' Party entities that are associated with prohibited activities. The assets can include vessels
- Member States are required to seize and dispose prohibited items
Sanctions Measure: Assets Freeze
All Member States are required to freeze the assets, funds, and economic resources of the entities of the Government of the DPRK and Korean Workers’ Party, that the State determines are associated with the prohibited activities, including designated persons and entities, as well as any persons or entities acting on behalf of or at their direction, or those owned or controlled by them. These assets include tangible, intangible, movable, immovable, actual or potential, which may be used to obtain funds, goods or services, such as vessels, including maritime vessels.
Designated vessels are subject to assets freeze by Member States.
Exemptions: paragraph 9 (a), (b) and (c) of resolution 1718 (2006)
- Necessary for basic expenses, including payment for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges, or exclusively for payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services, or fees or service charges, in accordance with national laws, for routine holding or maintenance of frozen funds, other financial assets and economic resources, after notification by the relevant States to the Committee of the intention to authorize, where appropriate, access to such funds, other financial assets and economic resources and in the absence of a negative decision by the Committee within five working days of such notification
- Necessary for extraordinary expenses, provided that such determination has been notified by the relevant States to the Committee and has been approved by the Committee
- Subject of a judicial, administrative or arbitral lien or judgement, in which case the funds, other financial assets and economic resources may be used to satisfy that lien or judgement provided that the lien or judgement was entered prior to the date of the present resolution, is not for the benefit of a person referred to in paragraph 8 (d) above [persons or entities designated by the Committee or by the Security Council as being engaged in or providing support for, including through other illicit means, DPRK’s nuclear-related, other weapons of mass destruction-related and ballistic missile-related programmes, or by persons or entities acting on their behalf or at their direction] or an individual or entity identified by the Security Council or the Committee, and has been notified by the relevant States to the Committee
Exemptions: paragraph 32 of resolution 2270 (2016)
- Funds, other financial assets and economic resources that are required to carry out activities of the DPRK’s missions to the United Nations and its specialized agencies and related organizations or other diplomatic and consular missions of the DPRK
- Funds, other financial assets and economic resources that the Committee determines in advance on a case-by-case basis are required for the delivery of humanitarian assistance, denuclearization or any other purpose consistent with the objectives of this resolution
Exemptions: paragraph 27 of resolution 2371 (2017)
- The Committee may, on a case-by-case basis, exempt any activity from the measures imposed by these resolutions if the committee determines that such an exemption is necessary to facilitate the work of international and non-governmental organizations carrying out assistance and relief activities in the DPRK for the benefit of the civilian population of the DPRK or for any other purpose consistent with the objectives of these resolutions
- Shall not apply with respect to financial transactions with the DPRK Foreign Trade Bank or the Korea National Insurance Corporation if such transactions are solely for the operation of diplomatic or consular missions in the DPRK or humanitarian assistance activities that are undertaken by, or in coordination with, the United Nations
Sanctions Measure: Disposal of Seized Items
All Member States are required to seize and dispose (such as through destruction, rendering inoperable or unusable, storage or transferring to a State other than originating or destination States for disposal) of prohibited items by the relevant resolutions in a manner consistent with their international obligations.
Exemptions: None
Sanctions Measure: Travel Ban
All Member States are required to prevent the entry into or transit through their territories of designated individuals; individuals acting on behalf of or at the direction of designated individuals; any individual whom a State determines is assisting in the evasion of sanctions, violating the provisions of the resolutions, working on behalf/at the direction of designated individuals; and individuals traveling for the purposes of carrying out activities related to the shipment of items for repair, servicing, refurbishing, testing, reverse-engineering, and marketing.
Exemptions: paragraph 10 of resolution 1718 (2006):
- Committee determines on a case-by-case basis that such travel is justified on the grounds of humanitarian need, including religious obligations, or where the Committee concludes that an exemption would otherwise further the objectives of the present resolution
Exemptions: paragraph 10 of resolution 2094 (2013)
- The presence of an individual is required for fulfillment of a judicial process or exclusively for medical, safety or other humanitarian purposes, provided that nothing in this paragraph shall impede the transit of representatives of the Government of the DPRK to the United Nations Headquarters to conduct United Nations business
Bunkering Services
Legally Binding
- UN Member States are prohibited from providing bunkering services to North Korean vessels
Sanctions Measures: Bunkering Services
All Member States are required to prohibit the provision of bunkering services, such as fuel, supplies, other servicing of vessels to North Korean vessels if reasonable grounds and information exist that they are carrying prohibited items.
Exemptions: paragraph 17 of resolution 1874 (2009)
- Provision of such services is necessary for humanitarian purposes
- Cargo has been inspected, and seized and disposed of if necessary
- Not intended to affect legal economic activities
WMD-Related Items
Legally Binding
- North Korea is prohibited from exporting WMD and missile-related technology
- North Korea is prohibited from importing WMD and missile-related technology
Sanctions Measures: WMD-Related Items and Services
Pursuant to the UN non-proliferation measures imposed on the DPRK, the export to and import from the DPRK of the following is prohibited:
- Items relevant to nuclear, ballistic missiles and other weapons of mass destruction (WMD)-related programs
- Technical training, advice, services or assistance related to the provision, manufacture, maintenance or use of nuclear-related, ballistic missile-related or other weapons of mass destruction-related items, materials, equipment, goods and technology. The DPRK is prohibited from engaging in any form of technical cooperation with other Member States on launches using ballistic missile technology, even if characterized as a satellite launch or space launch vehicle
Furthermore, all Member States must apply a “catch-all” clause on the supply, sale or transfer of any item if it is determined that such an item could contribute to North Korea's nuclear or ballistic missile programs, other WMD programs or other activities prohibited by the resolutions
Prohibited Items
Lists of prohibited WMD-related dual-use items, materials, equipment, goods and technology can be found on the UN Security Council website.
Exemptions
None
Financial Measures
Sanctions Measures: Financial Services
All Member States are required to prevent the provision of financial services, including bulk cash and gold, the opening of banking subsidiaries, the provision of public financial support, new commitments for grants, and financial assistance or concessional loans that could contribute to the DPRK’s prohibited programmes/activities, or to the evasion of sanctions.
Companies performing financial services commensurate with those provided by banks are considered financial institutions for the purposes of implementing relevant provision of the resolutions.
All Member States are prohibited from opening any new branches, subsidiaries and representative offices of DPRK banks; must close existing branches, subsidiaries and representative offices; and terminate any joint ventures, ownership interests or correspondent banking relationships with DPRK banks in their territory.
Exemptions: Paragraph 19 of resolution 1874 (2009) and paragraph 33 of resolution 2270 (2016).
- Humanitarian and developmental purposes directly addressing the needs of the civilian population, or the promotion of denuclearization
- Unless such transactions have been approved by the Committee in advance
All Member States are prohibited from opening any new representative offices, subsidiaries or bank accounts in the DPRK. All Member States must close existing offices, subsidiaries and banking accounts in the DPRK within 90 days.
Exemption: Paragraph 31 of resolution 2321 (2016)
- Unless the Committee determines on a case-by-case basis that such offices, subsidiaries or accounts are required for the delivery of humanitarian assistance or the activities of diplomatic missions in the DPRK or the activities of the United Nations or its specialized agencies or related organizations or any other purpose consistent with the objectives of this resolution
Sanctions Measures: Financial Support
All Member States are required to prohibit public and private financial support from within their territories or by persons/entities within their jurisdiction for trade with the DPRK, including granting of export credits, guarantees or insurance to their nationals, or entities involved in such trade.
Exception: Paragraph 32 of resolution 2321 (2016)
- Except as approved in advance by the Committee on a case-by-case basis
Sanctions Measures: Individuals Working on Behalf of Financial Institutions
If a Member State determines that an individual is working on behalf of or at the direction of a DPRK bank/financial institution, then the individual is to be expelled by the Member State from their territory for the purpose of repatriation.
Exception: Paragraph 33 of resolution 2321 (2016)
- Unless the presence of the individual is required for fulfillment of a judicial process or exclusively for medical, safety or other humanitarian purposes, or the Committee has determined on a case-by-case basis that the expulsion of the individual would be contrary to the objectives of resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), or this resolution
Sanctions Measures: Joint Ventures or Cooperative Entities
All Member States are required to prohibit, by their nationals or in their territories, the opening, maintenance and operation of all joint ventures or cooperative entities, new or existing, with DPRK entities or individuals, whether or not acting for or on behalf of the government of the DPRK.
All Member States are required to close any such existing joint venture or cooperative entity within 120 days of 11 September 2017 unless approved by the Committee on a case-by-case basis, and to close any such existing joint venture or cooperative entity within 120 days after the Committee has denied a request for approval.
Exceptions: Paragraph 18 of resolution 2375
- Unless such joint ventures or cooperative entities, in particular those that are non-commercial, public utility infrastructure projects not generating profit, have been approved by the Committee in advance on a case-by-case basis
Sanctioned Commercial Sectors
UN sanctions target a range of commercial sectors. The focus is often to deprive the target of sanctions with particularly essential goods or products. In other cases, the focus is on the particular vulnerabilities of the target in question.
Agricultural Goods
Legally Binding
- North Korea is prohibited from exporting food and agricultural products
Sanctions Measures: Agricultural Products
Pursuant to UN Council Resolution, DPRK shall not supply, sell or transfer, directly or indirectly, from its territory or by its nationals or using its flag vessels or aircraft, food and agricultural products
- HS Code 12: oil seeds and oleaginous fruits; miscellaneous grains, seeds and fruit, industrial or medicinal plants; straw and fodder
- HS Code 08: fruit and nuts, edible; peel of citrus fruit or melons
- HS Code 07: vegetables and certain roots and tubers; edible
Exemptions: paragraph 25 of Resolution 2397 (2017)
Food aid and humanitarian assistance are not prohibited.
Energy
Legally Binding
- North Korea is prohibited from importing all condensates and natural gas liquids
- North Korea is prohibited from importing refined petroleum products, above 500,000 barrels annually
- North Korea is prohibited from importing crude oil, above 525,000 tons or 4 billion barrels annually
Sanctions Measures: Condensates and Natural Gas Liquids
Export to North Korea is prohibited for the following:
- Condensates
- Natural gas liquids
Exemptions: None
Sanctions Measures: Refined Petroleum Products
Export to North Korea is prohibited for the following:
- Refined petroleum products in excess of the aggregate amount of 500,000 barrels during periods of 12 months beginning on 1 January 2018
- The data of the total amount of refined petroleum products sold, supplied, or transferred to the DPRK can be found here
Exemptions: paragraph 5 of resolution 2397 (2017)
- The Member State notifies the Committee every thirty days of the amount of such supply, sale, or transfer to the DPRK of refined petroleum products along with information about all the parties to the transaction; AND
- The supply, sale, or transfer of refined petroleum products involve no individuals or entities that are associated with the DPRK’s nuclear or ballistic missile programs or other activities prohibited by relevant resolutions; AND
- The supply, sale, or transfer of refined petroleum products are exclusively for livelihood purposes of DPRK nationals and unrelated to generating revenue for the DPRK’s nuclear or ballistic missile programs or other activities prohibited by relevant resolutions
Sanctions Measures: Crude Oil
Export to North Korea is prohibited for the following:
- Crude oil that exceeds the aggregate amounts of 4 million barrels or 525,000 tons per 12-month periods from 22 December 2017. Member States are required to report the amount of crude oil provided to the DPRK to the 1718 Committee every 90 days
Exemptions: paragraph 4 of resolution 2397 (2017)
- Committee approves in advance on a case-by-case basis a shipment of crude oil which is exclusively for livelihood purposes of DPRK nationals and unrelated to the DPRK’s nuclear or ballistic missile programs or other activities prohibited by relevant resolutions
- Crude oil that, for a period of twelve months after the date of adoption of this resolution, and for twelve months periods thereafter, does not exceed 4 million barrels or 525,000 tons in the aggregate per twelve month period
Industrial (Non-energy)
Legally Binding
- North Korea is prohibited from importing and exporting industrial machinery and electrical equipment
Sanctions Measures: Industrial Machinery
All Member States are prohibited from importing and exporting all industrial machinery (HS codes 84 and 85)
- HS code 84: nuclear reactors, boilers, machinery and mechanical appliances; parts thereof
- HS code 85: electrical machinery and equipment and parts thereof; sound recorders and reproducers; television image and sound recorders and reproducers, parts and accessories of such articles
Sanctions Measures: Transportation Vehicles
All Members States are prohibited from exporting transportation vehicles (HS codes 86-89)
- HS code 86: railway, tramway locomotives, rolling-stock and parts thereof; railway or tramway track fixtures and fittings and parts thereof; mechanical (including electro-mechanical) traffic signalling equipment of all kinds
- HS code 87: vehicles; other than railway or tramway rolling stock, and parts and accessories thereof
- HS code 88: aircraft, spacecraft and parts thereof
- HS code 89: ships, boats and floating structures
Sanctions Measures: Transportation Vehicles
All Member States are prohibited from exporting and iron, steel, and other metals (HS codes 72-83)
- HS code 73: iron or steel articles
- HS code 74: copper and articles thereof
- HS code 75: nickel and articles thereof
- HS code 76: aluminum and articles thereof
- HS code 77: (reserved for possible future use in HS)
- HS code 78: lead and articles thereof
- HS code 79: zinc and articles thereof
- HS code 80: tin; articles thereof
- HS code 81: metals; N.E.C., cermets and articles thereof
- HS code 82: tools, implements, cutlery, spoons, and forks, or base metal; parts thereof, of base metals
- HS code 83: metal; miscellaneous products of base metal
Exemptions: paragraph 7 of resolution 2397 (2017)
- Provision shall not apply to spare parts needed to maintain the safe operation of DPRK commercial civilian passenger aircraft (currently consisting of the following aircraft models and types: An-24R/RV, An-148-100B, Il-18D, Il-62M, Tu-134B-3, Tu-154B, Tu-204-100B, and Tu-204-300)
Military Goods and Related Technology
Legally Binding
- North Korea is prohibited from exporting all conventional arms
- North Korea is prohibited from importing all conventional arms
- North Korea is prohibited from importing helicopters and vessels
- North Korea is prohibited from exporting WMD and missile-related technology
- North Korea is prohibited from importing WMD and missile-related technology
Sanctions Measures: Conventional Arms
All Member States shall prevent the direct or indirect supply, sale, or transfer to the DPRK as well as to financial transactions, technical training, advice, service or assistance related to the provision, manufacture, maintenance or use of conventional and small arms, as well as light weapons.
- S/2016/1069: List of conventional arms dual-use items, pursuant to Resolution 2321
- S/2017/760: List of conventional arms-related items, materials, equipment, goods and technology, pursuant to Resolution 2371
- S/2017/829: List of additional conventional arms-related items, materials, equipment, goods and technology, pursuant to Resolution 2375
Sanctions Measures: WMD and Missile-related Technology
- S/2006/853: List of chemical and biological items, materials, equipment, goods and technologies related to other weapons of mass destruction programs, purpose to Resolution 1718 (correction)
- S/2014/253: List of items, materials, equipment, goods and technology related to ballistic missile programs, pursuant to Resolution 2087
- S/2016/308: List of items, materials, equipment, goods and technology related to WMD-related items and identified and designated as sensitive goods, pursuant to Resolution 2270
- S/RES/2321 (2016): List of items, materials, equipment, goods and technology pursuant to Resolution 2321
- S/2017/728: List of additional goods pursuant to Resolution 2371
- S/2017/822: List of additional WMD-related dual-use items, materials, equipment, goods, and technology, pursuant to Resolution 2375.
Exemptions
Pursuant to paragraph 8 (a) and (b) of Security Council Resolution 2270 (2016), there are three exemptions to the arms and related materiel embargo:
- Food or medicine
- Activity exclusively for humanitarian or livelihood purposes, which will not be used by North Korean individuals or entities to generate revenue, and is also not related to any activities prohibited by relevant resolutions
- 1718 Committee case-by-case determination
In addition, Member States must notify the Committee in advance of such determination and inform the Committee of measures taken to prevent the diversion of the item for other purposes.
Metals & Mining
Legally Binding
- North Korea is prohibited from exporting coal, iron, iron ore, gold, titanium ore, vanadium ore, copper, nickel, silver, zinc and rare earths
Sanctions Measures: Metal and Mineral Imports
Import from the DPRK of the following is prohibited:
- coal
- iron and iron ore
- gold
- titanium ore
- vanadium ore
- copper
- nickel
- silver
- zinc
- rare earth minerals
- lead and lead ore
- earth and stone (including magnesite and magnesia)
The UN has provided specific HS codes covering some, though not all, of the prohibited items listed above:
- HS code 25: salt, sulphur; earths, stone; plastering materials, lime and cement
Sanctions Measures: Metal and Mineral Exports
Export to the DPRK of iron, steel, and other metals (HS codes 72-83)
- HS code 72: iron and steel
- HS code 73: iron or steel articles
- HS code 74: copper and articles thereof
- HS code 75: nickel and articles thereof
- HS code 76: aluminum and articles thereof
- HS code 77: (reserved for possible future use in HS)
- HS code 78: lead and articles thereof
- HS code 79: zinc and articles thereof
- HS code 80: tin; articles thereof
- HS code 81: metals; N.E.C., cermets and articles thereof
- HS code 82: tools, implements, cutlery, spoons, and forks, or base metal; parts thereof, of base metals
- HS code 83: metal; miscellaneous products of base metal
Exemptions: paragraph 8 of resolution 2371 (2017) – only applicable to coal
- State determines that such activity is exclusively for humanitarian purposes or exclusively for livelihood purposes which will not be used by DPRK individuals or entities to generate revenue, and also not related to any activity prohibited by relevant resolutions, provided that the State notifies the Committee in advance of such determination and also informs the Committee of measures taken to prevent the diversion of the item for such other purposes
- Committee has determined on a case-by-case basis that a particular supply, sale or transfer would not be contrary to the objectives of resolutions
Exemptions: paragraph 6 of resolution 2397 (2017)
- For written contracts have been finalized prior to the adoption of this resolution, all States may only allow those shipments to be imported into their territories up to 30 days from the date of adoption of this resolution with notification provided to the Committee containing details on those imports by no later than 45 days after the date of adoption of this resolution
Training & Cooperation
Legally Binding
- Member States are prohibited from providing nuclear or military training to North Korea
- Member States are prohibited from engaging in scientific and technical cooperation with North Korea
Sanctions Measures: Specialized Teaching and Training
All Member States are required to exercise vigilance and prevent specialized teaching or training of DPRK nationals within their territories or by their nationals of disciplines which could contribute to the DPRK’s proliferation sensitive nuclear activities and development of nuclear weapon delivery systems, which includes, but is not limited to advanced materials science, advanced chemical engineering, advanced mechanical engineering, advanced electrical engineering and advanced industrial engineering.
Exemptions: None
Sanctions Measures: Scientific and Technical Cooperation
All Member States are required to suspend scientific and technical cooperation involving persons or groups officially sponsored by or representing the DPRK except for medical exchanges; determined on a case-by-case basis by the Committee (fields of nuclear science and technology, aerospace and aeronautical engineering and technology, advanced manufacturing production techniques and methods); and determined by the engaging State and notified to the Committee in advance of such determination (all other scientific or technical cooperation).
Exemptions: paragraph 11 of resolution 2321 (2016)
- In the case of scientific or technical cooperation in the fields of nuclear science and technology, aerospace and aeronautical engineering and technology, or advanced manufacturing production techniques and methods, the Committee has determined on a case-by-case basis that a particular activity will not contribute to the DPRK’s proliferation sensitive nuclear activities or ballistic missile -related programs
- In the case of all other scientific or technical cooperation, the State engaging in scientific or technical cooperation determines that the particular activity will not contribute to the DPRK’s proliferation sensitive nuclear activities or ballistic missile-related programs and notifies the Committee in advance of such determination
Sanctions Measures: Military-, Paramilitary-, and Police-related Training
All Member States are required to prohibit the procurement from the DPRK of technical training, advice, services or assistance related to the provision, manufacture, maintenance or use of arms and related materiel. Additionally, Member States are prohibited from engaging in the hosting of trainers, advisors, or other officials for the purpose of military -, paramilitary- or police-related training.
Exemptions: None
Transportation
Legally Binding
- UN Member States are required to inspect vessels and aircraft suspected of being engaged in illicit conduct
- UN Member States are prohibited from providing transportation services to North Korea, including leasing, chartering, or providing crew services, providing certification or associated services, or insuring any vessel flagged by North Korea
Sanctions Measures: Cargo Inspection
Pursuant to the UN transportation measures imposed on North Korea, Member States are:
Required to inspect cargo destined to or originating from North Korea or brokered by North Korea that is within or transiting their territories. This includes items that are being transported on North Korean-flagged aircraft or vessels, transported by rail and by road, as well as the personal luggage and checked baggage of individuals entering into or departing from North Korea that may be used to transport items the supply, sale or transfer of which is prohibited.
Exemptions: None
Sanctions Measures: Leasing and Chartering
Prohibited from leasing, chartering their flagged vessels, aircraft or providing crew services to North Korea, designated persons and entities, or any persons or entities who the Member State determines have assisted in sanctions evasions or in violation of the resolutions
Exemptions: paragraph 8 of resolution 2321 (2016)
- Approved in advance by the Committee on a case-by-case basis
Sanctions Measures: Crew Services
Prohibited from procuring vessel and aircraft crewing services from North Korea
Exemptions: None
Sanctions Measures: North Korean Vessel De-registration
Required to de-register any vessel that is owned or operated by North Korea and not to register any such vessel that is de-registered by another Member State.
Exemptions: None
Sanctions Measures: Vessel De-registration
Required to de-register any vessels they have reasonable grounds to believe were involved in activities or the transport of items prohibited by the relevant resolutions. Member States should not register any such vessel that has been de-registered by another Member State.
Exemptions: paragraph 12 of resolution 2397 (2017)
- Approved in advance by the Committee on a case-by-case basis
Sanctions Measures: Vessel Registration in North Korea
Required to prohibit their nationals, entities and persons within their territory from registering vessels in North Korea, to obtain authorization for a vessel to use the North Korean flag or to charter vessels flagged by North Korea.
Exemptions: paragraph 9 of resolution 2321 (2016)
- Approved in advance by the Committee on a case-by-case basis
Sanctions Measures: North Korean Vessel Ownership, Operation, and Related Services
Prohibited from owning, leasing, operating, chartering, or providing vessel classification, certification or associated service and insurance or re-insurance, to any North Korean-flagged, owned, controlled or operated vessel.
Exemptions: paragraph 22 of resolution 2321 (2016)
- Committee determines on a case-by-case basis that the vessel is engaged in activities exclusively for livelihood purposes which will not be used by North Korean individuals or entities to generate revenue or exclusively for humanitarian purposes
Sanctions Measures: Vessel Insurance or Re-insurance
Required to prohibit the provision of insurance or re-insurance services to vessels they have reasonable grounds to believe were involved in activities or the transport of items prohibited by the relevant resolutions.
Exemptions: paragraph 11 of resolution 2397 (2017)
- Committee determines on a case-by-case basis that the vessel is engaged in activities exclusively for livelihood purposes which will not be used by North Korean individuals or entities to generate revenue or exclusively for humanitarian purposes
Sanctions Measures: Aircrafts
Required to deny permission to any aircraft to take off from, land in or overfly their territory if they have information that provides reasonable grounds to believe that the aircraft contained prohibited items.
Exemptions: paragraph 21 of resolution 2270 (2016)
- In the case of an emergency landing
Sanctions Measures: Ports
Required to deny port entry if they have information that provides reasonable grounds that the vessel is owned, controlled, directly or indirectly, by a designated individual and/or entity.
Exemptions: paragraph 22 of resolution 2270 (2016)
- In the case of emergency
- In the case of return to its port of origination
- For inspection
- Committee determines in advance that such entry is required for humanitarian purposes or any other purposes consistent with the objectives of relevant resolutions
Sanctions Measures: Vessel Designation Actions
The Committee, if it has information that provides reasonable grounds to believe that the vessel(s) are or have been related to prohibited programs or activities, and pursuant to the vessels’ designation, will require any or all of the following actions: de-flagging of the vessel(s) by the Flag State; directing the vessel(s) to a port identified by the Committee (in coordination with the port State) by the Flag State; the prohibition of the vessel(s) entering into ports by Member States; and for the vessel(s) to be subject to assets freeze.
Exemptions: paragraph 12 of resolution 2321 (2016)
- In the case of emergency
- In the case of return to its port of origination
- Direction by the Committee
Sanctions Measures: Vessel Designation
The Committee may designate vessels for which it has information indicating they are, or have been, related to activities prohibited by the relevant resolutions.
All Member States are required to prohibit the entry into their ports of such designated vessels.
Exemptions: paragraph 6 of resolution 2375 (2017)
- In the case of emergency
- In the case of return to its port of origination
- Committee determines in advance that such entry is required for humanitarian purposes or any other purposes consistent with the objectives of relevant resolutions
Sanctions Measures: Vessel Inspections on the High Seas
Member States are called upon to inspect vessels with the consent of the flag State, on the high seas, if they have information that provides reasonable grounds to believe that the cargo of such vessels contains items the supply, sale, transfer or export of which is prohibited by the relevant resolutions.
All States are called upon to cooperate with inspections and, if the flag State does not consent to inspection on the high seas, decides that the flag State shall direct the vessel to proceed to an appropriate and convenient port for the required inspection by the local authorities, and decides further that, if a flag State neither consents to inspection on the high seas nor directs the vessel to proceed to an appropriate and convenient port for the required inspection, or if the vessel refuses to comply with flag State direction to permit inspection on the high seas or to proceed to such a port, then the Committee shall consider designating the vessel for the measures imposed in paragraph 8 (d) of resolution 1718 (2006) and paragraph 12 of resolution 2321 (2016) and the flag State shall immediately deregister that vessel provided that such designation has been made by the Committee.
All Member States are required, when it does not receive the cooperation of a flag State of a vessel, to submit promptly to the Committee a report containing relevant details.
Exemptions: paragraph 12 of resolution 2375 (2017)
- Applies only with respect to the situation in North Korea and shall not affect the rights, obligations, or responsibilities of Member States under international law, including any rights or obligations under the United Nations Convention on the Law of the Sea of 10 December 1982, with respect to any other situation
- This resolution shall not be considered as establishing customary international law
Sanctions Measures: Vessel Inspections at Port
All Member States are required to seize, inspect, and freeze (impound) any vessel in their ports, and may do so with any vessel subject to their jurisdiction in their territorial waters if they have reasonable grounds to believe that the vessel was involved in activities, or the transport of items, prohibited by the relevant resolutions.
Exemptions: paragraph 9 of resolution 2397 (2017)
- After six months from the date such vessels were frozen (impounded), this provision shall not apply if the Committee decides, on a case-by-case basis and upon request of a flag State, that adequate arrangements have been made to prevent the vessel from contributing to future violations of these resolutions
Sanctions Measures: Ship-to-Ship Transfers
All Member States are required to prohibit their nationals, persons subject to their jurisdiction, entities incorporated in their territory or subject to their jurisdiction, and vessels flying their flag, from facilitating or engaging in ship-to-ship transfers to or from North Korean-flagged vessels of any goods or items that are being supplied, sold, or transferred to or from North Korea.
Exemptions: None
Sanctions Measures: Information Sharing
All Member States should improve mutual information-sharing on suspected attempts by North Korea to supply, sell, transfer or procure illicit cargo, with support and facilitation by the 1718 Committee and the Panel of Experts.
All Member States are required to notify the Committee of relevant identifying information as well as measures taken to carry out appropriate actions as authorized by the relevant provisions regarding vessels in their territory or on the high seas designated as subject to the assets freeze, the port entry ban or other relevant measures.
Exemptions: None
Sanctions Measures: Statues, New Helicopters and Vessels
The DPRK is prohibited from supplying, selling, transferring, of statues.
All Member States are prohibited from procuring statues from the DPRK by their nationals, or by using their flag vessels or aircraft, whether or not originating in the territory of the DPRK.
Exception: Paragraph 29 of resolution 2321
- Unless the Committee approves on a case - by-case basis in advance
All Member States are required to prevent the supply, sale or transfer to the DPRK, of new helicopters, and new and used vessels.
Exceptions: paragraph 30 of resolution 2321 (2016) and paragraph 14 of resolution 2397 (2017)
- Except as approved in advance by the Committee on a case-by-case basis
Commodities
UN sanctions target commodities that have direct application in sensitive activities, such as nuclear programs. In other cases, they target commodities of particular interest to the focus of sanctions in order to apply specific pressure on it.
Seafood
Legally Binding
- North Korea is prohibited from exporting seafood
- North Korea is prohibited from selling or transferring its fishing rights
Sanctions Measures: Seafood
Export from North Korea of the following is prohibited:
- Seafood, including fish, crustaceans, mollusks, and other aquatic invertebrates in all forms
- Sale or transfer, directly or indirectly, of fishing rights
Exemptions: paragraph 9 of resolution 2371 (2017)
- For written contracts have been finalized prior to the adoption of this resolution, all States may allow those shipments to be imported into their territories up to 30 days from the date of adoption of this resolution with notification provided to the Committee containing details on those imports by no later than 45 days after the date of adoption of this resolution
Hydrocarbons
Legally Binding
- North Korea is prohibited from importing condensates and natural gas liquids
- North Korea is prohibited from importing refined petroleum products, including diesel and kerosene, above 500,000 barrels annually
- North Korea is prohibited from importing crude oil above 525,000 tons, or 4 million barrels, annually
- North Korea is prohibited from exporting coal
Sanctions Measures: Condensates and Natural Gas Liquids
Export to North Korea is prohibited for the following:
- Condensates
- Natural gas liquids
Exemptions: None
Sanctions Measures: Refined Petroleum Products
Export to North Korea is prohibited for the following:
- Refined petroleum products in excess of the aggregate amount of 500,000 barrels during periods of 12 months beginning on 1 January 2018
Exemptions: paragraph 5 of resolution 2397 (2017)
- The Member State notifies the Committee every thirty days of the amount of such supply, sale, or transfer to the DPRK of refined petroleum products along with information about all the parties to the transaction; AND
- The supply, sale, or transfer of refined petroleum products involve no individuals or entities that are associated with the DPRK’s nuclear or ballistic missile programs or other activities prohibited by relevant resolutions; AND
- The supply, sale, or transfer of refined petroleum products are exclusively for livelihood purposes of DPRK nationals and unrelated to generating revenue for the DPRK’s nuclear or ballistic missile programs or other activities prohibited by relevant resolutions
Sanctions Measures: Crude Oil
Export to North Korea is prohibited for the following:
- Crude oil that exceeds the aggregate amounts of 4 million barrels or 525,000 tons per 12-month periods from 22 December 2017
- Member States are required to report the amount of crude oil provided to the DPRK to the 1718 Committee every 90 days
Exemptions: paragraph 4 of resolution 2397 (2017)
- Committee approves in advance on a case-by-case basis a shipment of crude oil which is exclusively for livelihood purposes of DPRK nationals and unrelated to the DPRK’s nuclear or ballistic missile programs or other activities prohibited by relevant resolutions
- Crude oil that, for a period of twelve months after the date of adoption of this resolution, and for twelve months periods thereafter, does not exceed 4 million barrels or 525,000 tons in the aggregate per twelve month period
Sanctions Measures: Fuel
Export to North Korea is prohibited for the following:
- Aviation fuel, including aviation gasoline
- Jet fuel, including naptha-type jet fuel, kerosene-type jet fuel
- Rocket fuel, including kerosene-type rocket fuel
Exemptions: paragraph 31 of resolution 2270 (2016)
- Committee has approved in advance on an exceptional case-by-case basis the transfer to the DPRK of such products for verified essential humanitarian needs, subject to specified arrangements for effective monitoring of delivery and use
- Sale or supply of aviation fuel to civilian passenger aircraft outside the DPRK exclusively for consumption during its flight to the DPRK and its return flight
Sanctions Measures: Coal
Import from North Korea is prohibited for the following:
- Coal
Exemptions: paragraph 8 of resolution 2371 (2017)
- State determines that such activity is exclusively for humanitarian purposes or exclusively for livelihood purposes which will not be used by DPRK individuals or entities to generate revenue, and also not related to any activity prohibited by relevant resolutions, provided that the State notifies the Committee in advance of such determination and also informs the Committee of measures taken to prevent the diversion of the item for such other purposes
- Committee has determined on a case-by-case basis that a particular supply, sale or transfer would not be contrary to the objectives of resolutions
Metals and Minerals
Legally Binding
- North Korea is prohibited from exporting iron, iron ore, gold, titanium ore, vanadium ore, copper, nickel, silver, zinc and rare earths
Sanctions Measures: Metal and Mineral Imports
Import from the DPRK of the following is prohibited:
- coal
- iron and iron ore
- gold
- titanium ore
- vanadium ore
- copper
- nickel
- silver
- zinc
- rare earth minerals
- lead and lead ore
- earth and stone (including magnesite and magnesia)
The UN has provided specific HS codes covering some, though not all, of the prohibited items listed above:
- HS code 25: salt, sulphur; earths, stone; plastering materials, lime and cement
Sanctions Measures: Metal and Mineral Exports
Export to the DPRK of iron, steel, and other metals (HS codes 72-83)
- HS code 72: iron and steel
- HS code 73: iron or steel articles
- HS code 74: copper and articles thereof
- HS code 75: nickel and articles thereof
- HS code 76: aluminum and articles thereof
- HS code 77: (reserved for possible future use in HS)
- HS code 78: lead and articles thereof
- HS code 79: zinc and articles thereof
- HS code 80: tin; articles thereof
- HS code 81: metals; N.E.C., cermets and articles thereof
- HS code 82: tools, implements, cutlery, spoons, and forks, or base metal; parts thereof, of base metals
- HS code 83: metal; miscellaneous products of base metal
Exemptions: paragraph 8 of resolution 2371 (2017) – only applicable to coal
- State determines that such activity is exclusively for humanitarian purposes or exclusively for livelihood purposes which will not be used by DPRK individuals or entities to generate revenue, and also not related to any activity prohibited by relevant resolutions, provided that the State notifies the Committee in advance of such determination and also informs the Committee of measures taken to prevent the diversion of the item for such other purposes
- Committee has determined on a case-by-case basis that a particular supply, sale or transfer would not be contrary to the objectives of resolutions
Exemptions: paragraph 6 of resolution 2397 (2017)
- For written contracts have been finalized prior to the adoption of this resolution, all States may only allow those shipments to be imported into their territories up to 30 days from the date of adoption of this resolution with notification provided to the Committee containing details on those imports by no later than 45 days after the date of adoption of this resolution
Textiles
Legally Binding
- North Korea is prohibited from exporting textiles
Sanctions Measures: Textile Exports
Export from North Korea of the following is prohibited:
- Textiles, including but not limited to fabrics and partially or fully completed apparel products
Exemptions: paragraph 16 of resolution 2375 (2017)
- Committee approves on a case-by-case basis in advance
- For written contracts that have been finalized prior to the adoption of this resolution, all States may allow those shipments to be imported into their territories up to 90 days from the date of adoption of this resolution with notification provided to the Committee containing details on those imports by no later than 135 days after the date of adoption of this resolution
Lumber
Legally Binding
North Korea is prohibited from exporting lumber
Sanctions Measures: Lumber Exports
- The DPRK shall not supply, sell or transfer, directly or indirectly, from its territory or by its nationals or using its flag vessels or aircraft, wood.
- All Member States are prohibited from procuring the commodity or product from the DPRK by their nationals, or using their flag vessels or aircraft, whether or not originating in the territory of the DPRK.
- HS Code 44: wood and articles of wood; wood charcoal
Exemptions: None
Luxury Goods
Legally Binding
North Korea is prohibited from importing identified luxury goods
Sanctions Measures: Luxury Good Imports
The UN refers to the definition of "luxury" as: a habitually sumptuous environment or way of life; an elegant appointment or material aid to the achievement of luxury; a non essential item or service that contributes to luxurious living: an indulgence in ornament or convenience beyond the indispensable minimum; a means or source of pleasurable experience or personal satisfaction.
Resolution 2094 prohibits:
- Jewelry: jewelry with pearls; gems; precious and semi-precious stones (diamonds, sapphires, rubies, and emeralds); jewelry of precious metal or of metal clad with precious metal)
- Transportation items: yachts; luxury automobiles (and motor vehicles); automobiles and other motor vehicles to transport people other than public transport (ex. station wagons); racing cars
Resolution 2270 prohibits:
- Luxury watches: wrist; pocket; and other with a case of precious metal or of metal clad with precious metal
- Transportation items: aquatic recreational vehicles (ex. watercraft); snowmobiles (valued greater than USD 2000)
- Items of lead crystal
- Recreational sports equipment
Resolution 2321 prohibits:
- Rugs and tapestry (valued greater than USD 500)
- Tableware of porcelain or bone china (valued greater than $100)
Proposed basic principles include:
- All Member States prevent the direct or indirect supply, sale or transfer to the DPRK of "luxury goods"
- Care should be taken not to restrict the supply of ordinary civilian use goods to the wider population of the DPRK not have a negative humanitarian impact on the country
- Remain in the sovereign discretion and national responsibility of each Member State to determine for itself how best to reflect these objectives in its domestic legislation and regulation
- To implement controls on additional "luxury goods" in a coherent and harmonized manner, Member States are encouraged to take into account their own national characteristics as well as of other Member States
- Member States are required to submit reports containing relevant details to the Committee on the inspection, seizure and disposal of "luxury goods"
Important factors to consider when defining "luxury goods:"
- Whether the goods are affordable and are intended for the use of the general population of DPRK
- Whether the goods are specially designed, manufactured, or otherwise associated with brands whose names are known for premium goods for a select group of the population
- Whether the goods have special features, durability, or functionality beyond those for which a given category of items are normally made and thus considered as high end in that category
- Whether the goods are essential for the general population’s basic needs, health and well being