Summary
The arms embargo was extended to the entire country (to facilitate SSR and DDR), but exceptions were provided (with onerous processes for verification and advance notification) for transition government armed forces being rebuilt as part of a general peacebuilding process. Individual sanctions (travel ban and asset freeze) were applied in order to reduce hostilities by militias and foreign armed groups and facilitate a broader political settlement (in particular, to hold scheduled elections).
A new constitution was adopted and approved in 2005, elections were held in July of 2006, and Kabila was declared the victor (over Jean-Pierre Bemba) in a run-off election in November 2006. Bemba was exiled in April 2007, and another peace pact (between DRC and armed groups, including the National Congress for the Defence of the People (CNDP), a rebel faction headed by General Laurent Nkunda) was signed in January 2008 with the intention of bringing peace to the eastern DRC.
UNSCR 1596 (18 April 2005) extended the arms embargo to the entire country, requested a list of individuals who impeded SSR and DDR and elections, and provided for exceptions for government forces. UNSCR 1649 (21 December 2005) applied sanctions to a group of individuals (leaders of armed factions and militias impeding DDR and the political settlement). UNSCR 1698 (31 July 2006) extended the individual sanctions to leaders engaged in the recruitment of child soldiers. Sectoral commodity sanctions (that fuel the conflict) were also threatened for the first time.
Purposes
Coerce
Coerce belligerent rebel groups remaining outside of the GPA to participate in the political process (especially the elections, and engage in SSR and DDR).
Constrain
Constrain the rebels from continuing to participate in hostilities, as well as regional actors from Rwanda and Uganda from supporting them.
Signal
Signal parties to the conflict support for the legitimacy of the transitional government.
Sanctions type
Mandatory
The ongoing arms imports embargo on non-governmental entities was extended to the entire country.
Newly imposed travel ban and asset freeze.
Designations
Maximum number of designees during the episode: 17 individuals and 6 entities.
Potential scope
Potential scope of impact
UN sanctions can have some non-discriminating impact on the general population, since they include arms embargoes, diplomatic sanctions, and/or restrictions on the conduct of particular activities or the export of specific commodities.
Implementation
Sanctions were imposed for a limited time period (1 year) and periodically renewed. Sanctions Committee and Group of Experts in place. Designation criteria were specified and targets designated. Enforcement authorities specified, PKO had enforcement role.
Effectiveness
Coercion
Policy outcome
Major warring factions concluded that elections were preferable to violence, while some others interested in future political careers in the DRC changed their behavior and joined the process.
Sanctions contribution
Sanctions contributed to a larger effort during this episode, including increased international attention, DDR, SSR, EU efforts, and elections that signaled the potential for peace; changes in Ituri region were due to numerous small peace agreements with different armed groups.
Constraint
Policy outcome
There is limited evidence that total levels of arms were reduced, but there was some evidence of a disruption of the gold trade through Ugandan traders used to finance arms purchases.
Sanctions contribution
Given the presence of arms in the region, the porosity of borders, and the problems associated with MONUC forces (low capacity and unwillingness to carry out its mandate) and evidence of the selling of arms to belligerents in the Ituri region during this episode; sanctions disrupted the gold trade.
Signaling
Policy outcome
Transition government was signaled as legitimate to domestic, regional, and international actors and targets were identified and stigmatized.
Sanctions contribution
Sanctions contributed to a larger diplomatic effort during this episode, including increased international attention, DDR, SSR, EU efforts, and elections that signaled the potential for peace.
Overall
Unintended consequences
Strengthening of authoritarian rule, strengthening of political factions, resource diversion.
UN sanctions resolutions guide
Substantive
- Imposes travel ban (1 year) and specifies humanitarian, religious, and peace, national reconciliation and regional stability exemptions (pending Committee approval)
- Imposes financial asset freeze (1 year) and specifies exemptions for necessary basic expenses, extraordinary expenses, and expenses subject of a judicial, administrative or arbitral lien or judgment (pending Committee approval)
- Expands UNSCR 1493 arms imports embargo to any recipient in DRC, reiterating assistance includes financing and financial assistance related to military activities
- Specifies arms imports embargo exemptions for MONUC, humanitarian or protective use and related technical assistance and training (with prior Committee notification), and for DRC army and police units that completed integration or operate under Armed Forces or National Police command or are in the process of integration outside North and South Kivu and Ituri district
- Decides all future authorized arms shipments will take place through receiving sites designated by Government of National Unity and Transition in coordination with MONUC, and notified in advance to Committee
- Decides that governments in the region ensure aircraft operation in accordance with Convention on International Civil Aviation, notify Committee of any violations and maintain registry of all information concerning flights to and from DRC for Committee and Group of Experts review
- Decides DRC and states bordering Ituri and the Kivus strengthen customs controls and ensure no means of transportation are violating the arms imports embargo, notifying MONUC of any such violations
Procedural
- Modifies Sanctions Committee mandate and authorizes it to request information from MS
- Re-establishes UNSCR 1533 Group of Experts (until 31.07.2005)
- Requests MS reporting
Substantive
- Renews UNSCR 1493 and 1596 arms imports embargo (1 year).
Procedural
- Re-establishes UNSCR 1533 Group of Experts (until 31.01.2006).
Substantive
- Extends asset freeze and travel ban designation criteria to political and military leaders of: (1) foreign armed groups operating in DRC impeding disarmament, repatriation and resettlement of their combatants, and (2) Congolese militias receiving support from outside DRC, especially those operating in Ituri impeding disarmament, repatriation and reintegration of their combatants (until 31.07.2006).
- Adds travel ban exemption for transit of individuals returning to state of their nationality or participating in efforts to bring justice to perpetrators of human rights and international humanitarian law violations (pending prior Committee authorization).
Procedural
- Delays sanctions implementation (until 15.01.2006).
- Sets sanctions review (by 31.07.2006).
Substantive
- Adds UNSCR 1493 and 1596 arms imports embargo exemption for Eufor DRC.
Procedural
- Authorizes deployment of Eufor DRC for 4 months after the first round of the presidential and parliamentary elections (not exceeding MONUC mandate) and specifies its mandate.
- Authorizes MONUC to provide logistical support to Eufor DRC.
- Requests EU reporting (also to DRC).
Substantive
- Renews UNSCR 1493, 1596 and 1649 arms imports embargo and UNSCR 1596 financial asset freeze and travel ban (1 year).
- Delineates designation criteria.
- Expresses intention to consider including measures on illegal exploitation of natural resources.
Procedural
- Extends and modifies Group of Experts mandate (1 year).
Substantive
- Renews UNSCR 1493 and 1596 arms imports embargo and UNSCR 1596, 1649 and 1698 financial asset freeze and travel ban (until 10.08.2007).
- Renews UNSCR 1596 provisions for aircraft operation and registry for governments in the region and strengthened custom controls for DRC and states bordering Ituri and the Kivus (until 10.08.2007).
Procedural
- Extends Group of Experts mandate (until 10.08.2007).
Substantive
- Renews UNSCR 1493 and 1596 arms imports embargo and UNSCR 1596, 1649 and 1698 financial asset freeze and travel ban (until 15.02.2008).
- Renews UNSCR 1596 provisions for aircraft operation and strengthened custom controls (until 15.02.2008).
Procedural
- Extends Group of Experts mandate (until 15.02.2008).
- Requests MS Committee notification of arms imports under UNSCR 1596 and 1771 exemptions.
- Sets sanctions review (by 15.02.2008).
Substantive
- Renews UNSCR 1493 and 1596 arms imports embargo and UNSCR 1596, 1649 and 1698 financial asset freeze and travel ban (until 31.03.2008).
- Renews UNSCR 1596 provisions for aircraft operation and strengthened custom controls (until 31.03.2008).
Procedural
- Extends Group of Experts mandate (until 31.03.2008).
