Summary
Following the invasion and occupation of Iraq, the occupying forces led by the United States established a de-facto regime (the Coalition Provisional Authority, or the “Authority”), which banned the Baath party and launched a de-Baathification policy.
On 22 May 2003, the Security Council passed UNSCR 1483 recognizing the regime, lifting the comprehensive sanctions against Iraq (the UNSCR 661 sanctions regime), and initiating targeted sanctions to support the country’s stability, security and reconstruction under the occupation. UNSCR 1483 also stipulated that the newly created Development Fund for Iraq will be used to meet the humanitarian needs of the Iraqi people, for the economic reconstruction and repair of Iraq’s infrastructure, continued disarmament of Iraq, costs of civil administration, and other purposes benefiting the people of Iraq. The United Nations Assistance Mission for Iraq (UNAMI) was established on 14 August 2003 by UNSCR 1500 to support the fulfilment of UNSCR 1483.
In UNSCR 1518, passed on 24 November 2003, a new Iraq Sanctions Committee was created to replace the 661 Committee (which made the initial designations until its mandate lapsed, 6 months after UNSCR 1483).
At the time of the 2003 invasion of Iraq, it is estimated that at least 400,000 Baath members were serving in the army and the total number of members and sympathizers ranged between 1 and 2 million. The Authority oversaw the process of de-Baathification throughout the episode, issuing orders focusing on the removal of Baath-affiliated individuals from different public institutions, including the army, government ministries, hospitals, and universities. It also established an Iraqi De-Baathification Council to help identify Baath property, assets, officials, and members. The process of de-Baathification was particularly intensive at the end of 2003 and the beginning of 2004.
Purposes
Coerce
N/A.
Constrain
Constrain members of the former Iraqi regime and their supporters from establishing a credible opposition to the occupation.
Signal
Signal the illegitimacy of the former regime.
Sanctions type
Mandatory
Ongoing arms imports embargo (on all Iraqi parties), as well as weapons of mass destruction, missile, and civil nuclear-related restrictions, and provisions for the return of all Kuwaiti property seized by Iraq and return or repatriation of Kuwaiti and third-country nationals.
Newly imposed Iraqi cultural property trade or transfer ban, asset freeze (individual/entity and former regime), and asset transfer requiring all frozen assets to be transferred to the Development Fund for Iraq, mandatory depositions of proceeds from petroleum, petroleum products, and natural gas exports to the Kuwait Compensation Fund and the Development Fund for Iraq, and related UN-like privileges.
The “Oil-for-Food” Program, petroleum, petroleum products, and natural gas exports ban, as well as all other trade, financial, and economic sanctions previously imposed under the comprehensive sanctions regime were terminated at the beginning of the episode.
Designations
Maximum number of designees during the episode: 82 individuals and 206 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 Committee existing from the previous comprehensive sanctions was replaced by a new Sanctions Committee 6 months after the imposition of targeted measures, no sanctions monitoring mechanism in place. Designation criteria were specified and targets designated. Enforcement authorities specified.
Effectiveness
Coercion
Policy outcome
N/A.
Sanctions contribution
N/A.
Constraint
Policy outcome
Baathist government forces never mounted a significant counter campaign during the episode, and most of its key officials were arrested, killed or captured after the 2003 invasion, while Baath members were targeted by the de-Baathification of the public sector. Saddam Hussein’s sons were killed in a firefight with the occupying coalition forces in July, and Saddam Hussein was captured in December of 2003.
Sanctions contribution
The military occupation forces played a far more significant role in constraining remnants of the Baathist regime.
Signaling
Policy outcome
Norms were not clearly articulated in the targeted financial measures against former members of the Baathist regime (more concern about the private appropriation of government funds), UNSCR 1483 was focused on end of the 661 regime and “Oil-for-Food” Program, and recognition of the authority of the occupying regime, re-engaging the UN with a request for an SRSG.
Sanctions contribution
Newly imposed targeted sanctions stigmatized more sharply than comprehensive sanctions (which these replaced), but the overthrow of the Baathist regime and the de-Baathification program were more important in stigmatizing individuals associated with the former government.
Overall
Unintended consequences
Insufficient information available at present.
UN sanctions resolutions guide
Substantive
- Imposes ban on trade or transfer of Iraqi cultural property and other items of archaeological, historical, cultural, rare scientific, and religious importance (suspected to have been) illegally removed from Iraq National Museum, National Library, and other locations since UNSCR 661 in 1990 and decides MS shall safely return such illegally removed items to Iraqi institutions
- Lifts all UNSCR 661 and 778 trade, financial and economic sanctions except arms imports embargo to Iraq (unless required by Authority)
- Terminates UNSCR 661 petroleum, petroleum products and natural gas exports ban from Iraq and decides that all such sales will be audited by independent public accountants and all proceedings (except 5 per cent deposited in Compensation Fund) shall be deposited in Development Fund for Iraq until internationally recognized, representative government of Iraq is properly constituted
- Decides that all petroleum, petroleum products and natural gas exports from Iraq shall enjoy privileges and immunities equivalent to those enjoyed by the UN except with respect to any legal proceedings in connection with liability for ecological accidents (until 31.12.2007)
- Imposes financial asset freeze and transfer to Development Fund for Iraq of funds, financial assets and economic resources of previous Government of Iraq and its state bodies, corporations, and agencies, or Saddam Hussein, other former Iraqi regime senior officials, their immediate family members, and entities owned or controlled by them, and specifies judicial, administrative, arbitral lien or judgment exemptions
- Decides that such funds shall enjoy the same UN privileges, immunities, and protections as the sale of petroleum, petroleum products or natural gas
Procedural
- Requests appointment of Special Representative for Iraq by Secretary-General and specifies his/her mandate
- Requests Secretary-General to transfer 1 billion US dollars from unencumbered funds in UNSCR 986 established accounts to Development Fund for Iraq, restore UNSCR 778 requested funds to Government of Iraq, and, after deducting all relevant UN Oil-for-Food related expenses, transfer all surplus funds to Development Fund for Iraq
- Terminates UNSCR 661 Sanctions Committee (in 6 months) and specifies its mandate
- Terminates “Oil-for-Food” Programme (within 6 months) and transfers responsibility for administration of any remaining activity to Authority
- Terminates Secretary-General functions related to observation and monitoring activities under “Oil-for-Food” Programme
- Sets sanctions review (1 year)
- Encourages regular UK and US reporting
Substantive
- Authorizes multinational force to take all necessary measures to contribute to maintenance of security and stability in Iraq, including security of UN Assistance Mission for Iraq, Governing Council of Iraq and other Iraqi interim administration institutions, key humanitarian and economic infrastructure
Procedural
- Requests periodic US reporting.
