Summary
In response to increased use of improvised explosive devices (IEDs) by Al-Shabaab and conclusive evidence reported by the Panel of Experts in September 2019 that the group “had been manufacturing its own home-made explosives since at least July 2017”, the Security Council adopted UNSCR 2498 (15 November 2019) to impose a conditional ban on the import of components used to manufacture IEDs. In the resolution, Security Council also called on Member States to exercise vigilance regarding the sale, supply, or transfer of explosive precursors and materials that could be used to manufacture explosive devices to Somalia, further calling on them to keep records of such transactions and share information regarding suspicious transactions involving such items.
As of 2020, the Somali Federal Government had made some progress in its security-related objectives with the support of AMISOM and US forces, but the state-building process was complicated by difficulties in the dialogue between the Federal Government and States, especially in relation to the National Security Architecture and the transition of security responsibilities from AMISOM to Somali security forces.
Purposes
Coerce
N/A.
Constrain
Constrain Al-Shabaab from challenging the Federal Government of Somalia.
Signal
Signal support for a peaceful resolution to the conflict, and subsidiary concerns such as the transitional government and process, good governance, anti-terrorism, anti-piracy, among others.
Sanctions type
Mandatory
Ongoing arms imports embargo on all parties to the conflict (with conditional government exemptions) and designated individuals and entities, travel ban and asset freeze on listed individuals/entities (including rebel factions), and charcoal exports ban from Somalia.
Newly imposed conditional ban on the import of items that can be used for the manufacture of explosive devices to Somalia (from November 2019).
All secondary sanctions on Eritrea were lifted at the beginning of the episode.
Exemptions
Travel ban:
https://www.un.org/securitycouncil/sanctions/751/exemptions/travel-ban
Travel ban exemptions in effect:
https://www.un.org/securitycouncil/sanctions/751/exemptions/travel-exemptions
Asset freeze:
https://www.un.org/securitycouncil/sanctions/751/exemptions/arms-embargo/assetsfreeze
Carve out provisions for humanitarian actors apply, as specified in UNSCR 2664 (2022).
Arms embargo:
https://www.un.org/securitycouncil/sanctions/751/exemptions/arms-embargo
IED components ban:
https://www.un.org/securitycouncil/sanctions/751/exemptions/arms-embargo/ied-component-ban
Designations
Current and maximum number of designees during the episode: 20 individuals and 1 entity.
Current list of sanctions designees:
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 in place. The Somalia and Eritrea Monitoring Group was terminated at the start of the episode and replaced with a Panel of Experts on Somalia. Designation criteria were specified and targets designated. Enforcement authorities specified (AMISOM).
Implementation assistance notices:
Panel of Experts reports:
https://www.un.org/securitycouncil/sanctions/751/work-and-mandate/reports
Effectiveness
Coercion
Policy outcome
N/A.
Sanctions contribution
N/A.
Constraint
Policy outcome
Al-Shabaab has been able to maintain a diverse source of revenue (mainly extorsion/taxation of economic activity) and has continued to be able to engage in violence, in particular through IEDs. The 2019 Panel of Experts report stated that money was not a limiting factor for Al-Shabaab.
Sanctions contribution
While there has been a decline in charcoal exports from Al-Shabaab, the group has been able to establish new sources of revenue. The use of military force by the Federal Government, AMISOM and its international allies have been the most significant for constraining Al-Shabaab forces.
Signaling
Policy outcome
The lifting of sanctions on Eritrea narrowed the focus of the sanctions regime, although the broad set of objectives related to the regime,from piracy to the presence of Al-Shabaab and the state-building process, weakens the signal and stigmatization of targets.
Sanctions contribution
The continued presence of AMISOM and other forces, and diplomatic efforts are more significant for the signaling.
Overall
Unintended consequences
Strengthening security apparatus of sending states, increase in international enforcement capability, resource diversion, humanitarian consequences.
UN sanctions resolutions guide
Substantive
- Condemns Al-Shabaab’s extraction of revenue from natural resources.
Existing sanctions
- Reaffirms UNSCR 733, 1425, 2093, 2111, 2125, 2142, 2244, 2317, and 2385 arms embargo.
- Decides that weapons and equipment supplied to Somali National Security Forces or Somali security sector institutions may not be resold, transferred, or made available to other individuals or entities.
- Reaffirms AMISOM’s role in documenting and registering captured weapons.
- Exempts weapons, equipment, advice, assistance, and training for the development of Somali National Security Forces or Somalia security sector institutions other than of the Federal Government of Somalia other than those related to items in Annex A (which are subject to Committee’s advanced approval) and Annex B (which are subject to prior Committee notification) and specifies the related procedure and notification obligations (until 15.11.2020).
- Reaffirms arms imports embargo exemptions for non-lethal military equipment for humanitarian or protective use (with prior notification request); as well as for UN, UNSOM, AMISOM, its strategic partners, and the EUTM; states and organizations suppressing piracy and armed robbery off the coast of Somalia upon Federal Government of Somalia’s request and notification to UNSG; personal use of protective clothing by UN personnel, media, humanitarian, development, and associated personnel; and temporary entries into Somali ports by vessels carrying weapons and military equipment for defensive purposes provided they remain aboard the vessels at all time.
- Extends UNSCR 1916 exemption from UNSCR 1844 financial asset freeze for funds necessary for humanitarian assistance (until 15.11.2020).
- Reaffirms UNSCR 2036 ban on the import and export of Somali charcoal.
- Extends UNSCR 2182 authorization for MS acting with FGS to inspect vessels coming to and from Somalia, if reasonable grounds for charcoal exports or arms imports embargo violation (until 15.11.2020).
New sanctions
- Imposes a ban on the import of items that can be used for the manufacture of explosive devices (specified in Part I of Annex C) if there is sufficient evidence that the item will or may be used for this purpose and specifies post-sale/supply/transfer notification and the necessary information (within 15 working days).
- Calls on MS to exercise vigilance regarding the sale, supply, or transfer of explosive precursors and materials to Somalia that could be used to manufacture explosive devices (including those listed in Part II of Annex C) and calls upon them to keep records of transactions and share information regarding suspicious transactions.
Procedural
- Extends and modifies Panel of Experts mandate (until 15.12.2020).
- Requests Secretary General update on normalization of relations between Eritrea and Djibouti.
- Requests Federal Government of Somalia reporting.
Substantive
- Renews UNSCR 1846, 1851, 1897, 1950, 2020, 2077, 2125, 2184, 2246, 2316, 2383, and 2442 authorization to MS and regional organizations cooperating with Somali authorities in the fight against piracy and armed robbery at sea (1 year) and exempts them from UNSCR 733, 1425, and 2093 arms imports embargo.
Procedural
- Renders reporting by MS and regional organizations (including those acting under this authorization) voluntary.
Substantive
- Expresses concern over Al-Shabaab’s ability to generate revenue and launder, store, and transfer resources
- Calls on FGS to assess and mitigate money laundering and terrorist financing risks, improve compliance, and strengthen supervision and enforcement
- Welcomes progress on weapons and ammunition management and calls on FGS and FMS to enhance civilian oversight of their security apparatus
Existing sanctions
- Reaffirms UNSCR 733, 1425, 2093, 2111, 2125, 2142, 2244, 2317, and 2385 arms embargo, UNSCR 2498 exemptions, and FGS post-delivery notification requirements
- Reaffirms UNSCR 2036 and 2182 ban on the export and import of charcoal from Somalia
- Adjusts the list of items subject to UNSCR 2498 IED components ban (specified in Part I of Annex C) and reaffirms related post-sale/supply/transfer notification requirements as well as related vigilance and record keeping
- Exempts payments of funds, other financial assets or economic resources necessary for humanitarian assistance by UN, its specialized agencies and programs, humanitarian organizations with UN General Assembly observer status, and their implementing partners from UNSCR 1844 financial asset freeze
Enhanced implementation
- Extends UNSCR 2182 authorization for MS acting with FGS to inspect vessels coming to and from Somalia, if reasonable grounds for charcoal exports or arms imports embargo violation (until 15.11.2021)
Procedural
- Extends and modifies Panel of Experts mandate (until 15.12.2021)
- Requests Secretary General update on normalization of relations between Eritrea and Djibouti
- Requests Secretary General assessment of Somalia’s weapons and ammunition management capability and recommendation to improve it further
- Requests Federal Government of Somalia reporting
Substantive
- Condemns all acts of piracy and armed robbery at sea off the coast of Somalia
- Renews UNSCR 1846, 1851, 1897, 1950, 2020, 2077, 2125, 2184, 2246, 2316, 2383, 2442, and 2500 authorization to MS and regional organizations cooperating with Somali authorities in the fight against piracy and armed robbery at sea (1 year) and exempts them from UNSCR 733, 1425, and 2093 arms imports embargo
Procedural
- Requests SG reporting
Substantive
- Underscores the need to target Al-Shabaab’s finances and prevent illicit revenue generation, including from the sale of charcoal
- Calls on FGS to accelerate the implementation of the National Security Architecture and Somalia Transition Plan and urges FGS and FMS to implement the 27 May 2021 roadmap
Existing sanctions
- Reaffirms UNSCR 2036 and 2182 ban on the export and import of charcoal from Somalia
- Reaffirms UNSCR 2551 conditional IED components ban
- Reaffirms UNSCR 733, 1425, 2093, 2111, 2125, 2142, 2244, 2317, and 2385 arms embargo and specifies the related exemptions, approvals, and notification requirements
- Reaffirms UNSCR 2551 humanitarian assistance exemption from UNSCR 1844 asset freeze
Enhanced implementation
- Extends and modifies UNSCR 2182 authorization for MS acting with FGS to inspect vessels coming to and from Somalia, if reasonable grounds for charcoal exports or arms imports embargo violation, adding IED components ban violations (until 15.11.2022)
Procedural
- Extends and modifies Panel of Experts mandate (until 15.12.2022)
- Requests Secretary General update on normalization of relations between Eritrea and Djibouti
- Requests Secretary General assessment of Somalia’s weapons and ammunition management capability and recommendation to improve it further
- Requests Federal Government of Somalia reporting
Substantive
- Condemns all acts of piracy and armed robbery at sea off the coast of Somalia
- Renews UNSCR 1846, 1851, 1897, 1950, 2020, 2077, 2125, 2184, 2246, 2316, 2383, 2442, 2500, and 2554 authorization to MS and regional organizations cooperating with Somali authorities in the fight against piracy and armed robbery at sea (3 months) and exempts them from UNSCR 733, 1425, and 2093 arms imports embargo
Procedural
- Requests SG reporting
Substantive
Enhanced implementation
- Extends UNSCR 2182 and 2607 authorization for MS acting with FGS to inspect vessels coming to and from Somalia, if reasonable grounds for charcoal exports, arms imports embargo or IED components ban violations (until 17.11.2022)
Substantive
- Sets the objectives of (1) supporting weapons and ammunition management and SSR in Somalia and (2) degrading the threat posed by Al-Shabaab
- Welcomes the technical assessment of the weapons and ammunition management capability of Somalia (S/2022/698) and the proposed benchmarks and recommendations
- Notes with concern Al-Shabaab’s ability to generate revenue and launder, store and transfer resources, carry out terrorism, and destabilise Somalia and the region
Existing sanctions
- Expands UNSCR 1844, 2002, and 2093 travel ban, asset freeze, and targeted arms embargo designation criteria by engaging or supporting acts that threaten the peace, security or stability of Somalia and being associated with Al-Shabaab
- Reaffirms UNSCR 2036 and 2182 ban on the export and import of charcoal from Somalia
- Reaffirms UNSCR 2551 conditional IED components ban (with regards to items in part I of Annex C)
- Reaffirms UNSCR 2551 and 2607 humanitarian assistance exemption from UNSCR 1844 asset freeze
New sanctions
- Requires MS to take the necessary measures to prevent all deliveries of weapons and military equipment to Somalia, including prohibiting the financing of all acquisitions thereof and the provision of technical advice, financial or other assistance, and training related to military activities
- Exempts Somalia’s security and police institutions at the national and local level, where the intended purposes is solely to provide security for the Somali people, except in relation to items specified in Annex A (which may be provided in the absence of a negative decision by the Committee) and Annex B (which are subject to prior Committee notification)
- Exempts weapons, equipment, advice, assistance, and training for the support or use by UNSOM, ATMIS, EU training and support activities, Türkiye, UK, US or other states operating within the STP, have status of forces agreement or memorandum of understanding with the Federal Government of Somalia; personal use of protective clothing by UN personnel, media, humanitarian, development, and associated personnel; humanitarian and protective use of non-lethal military equipment by States, international, regional or subregional organizations; and temporary entries into Somali ports by vessels carrying weapons and military equipment for defensive purposes provided they remain aboard the vessels at all time
Enhanced implementation
- Extends UNSCR 2182 and 2607 authorization for MS acting with FGS to inspect vessels coming to and from Somalia, if reasonable grounds for charcoal exports, arms imports embargo or IED components ban violations (until 15.11.2023)
Procedural
- Extends and modifies Panel of Experts mandate (until 15.12.2023)
- Requests Federal Government of Somalia reporting
- Requests Secretary General update on progress on benchmarks contained in S/2022/698 (by 15.09.2023)
- Requests the sharing of relevant information by Special Representative of the Secretary General for Children and Armed Conflict and the Special Representative for Sexual Violence in Conflict
Substantive
- Decides that the provision, processing or payment of funds, other financial assets, or economic resources, or the provision of goods and services necessary to ensure the timely delivery of humanitarian assistance or to support other activities that support basic human needs is permitted and not in violation of asset freeze imposed by the UNSC or its Sanctions Committees
- The exception applies to the United Nations, including its Programmes, Funds and Other Entities and Bodies, as well as its Specialized Agencies and Related Organizations, international organizations, humanitarian organizations having observer status with the United Nations General Assembly and members of those humanitarian organizations, or bilaterally or multilaterally funded non-governmental organizations participating in the United Nations Humanitarian Response Plans, Refugee Response Plans, other United Nations appeals, or OCHA-coordinated humanitarian “clusters,” or their employees, grantees, subsidiaries, or implementing partners while and to the extent that they are acting in those capacities, or by appropriate others as added by any individual Committees established by the UNSC within and with respect to their respective mandates
- Requests providers relying on the above exception to use reasonable efforts to minimize the accrual of any benefits prohibited by sanctions, including by strengthening risk management and due diligence strategies and processes
- Decides that the above exception will apply to all future asset freezes imposed or renewed by the UNSC in the absence of an explicit decision to the contrary
Procedural
- Clarifies that the above exception supersedes previous resolutions in case of conflict
- Clarifies that the above exception replaces paragraph 37 of UNSCR 2607 (humanitarian assistance exception from asset freeze)
- Requests annual briefing by the UN Emergency Relief Coordinator for each relevant Sanctions Committee, including on the provision of funds or resources to designated individuals or entities
- Directs Sanctions Committees to issue context-specific Implementation Assistance Notices and monitor the implementation of the exception
- Requests the Secretary-General to issue a written report on the unintended adverse humanitarian consequences of UNSC sanctions measures (within 9 months)
