Yemen - EP 2

Duration: 14-Apr-2015 to Present

Shortly after the 26 March 2015 start of the Saudi-led military intervention seeking to reinstate the Hadi government and roll back Houthi/Saleh territorial advances, the Security Council adopted UNSCR 2216 (14 April 2015) expressing support for the legitimacy of President Hadi and imposing targeted (individual/entity) arms imports embargo, as well as asset freeze and travel ban, on the Houthi leader Abdulmalik al-Houthi and the former Commander of the Republican Guard and former President Saleh’s son, Ahmed Ali Abdullah Saleh. Although the resolution demanded that all Yemeni parties refrain from violence and unilateral actions that could undermine the political transition in the country, it singled out the Houthis in particular, on whom it also imposed a specific set of demands, including ending the use of violence, withdrawal of forces from all seized areas, relinquishing of additional arms seized, release of all political prisoners, and cessation of actions exclusively within the authority of the legitimate Government of Yemen. The resolution also expanded the designation criteria to include violations of the arms embargo and obstruction of humanitarian assistance in Yemen and called for the inspection of all cargo to Yemen when reasonable grounds for sanctions violation exist. Beyond calling on all parties to comply with their obligations under international law and noting the commencement of the campaign at the request of Hadi, the resolution did not make specific demands of the Saudi-led military intervention, leading to the subsequent perception of the document as rather one-sided.

The shift in focus of the sanctions regime to the Houthis had been foreshadowed by UNSCR 2201 (15 February 2015), which also placed specific demands on the Houthis but was not adopted under Chapter VII, and by the 22 March 2015 Presidential statement supporting the legitimacy of President Hadi and condemning Houthi unilateral actions (S/PRST/2015/8). Both documents, like UNSCR 2216, were drafted by Gulf Cooperation Council (GCC) members via Jordan, which held a seat at the Security Council in 2015. In May 2015, the UK resumed its position as the penholder on Yemen in the Security Council and the influence of the GCC on the Council's statements began to wane. The change came as a result of a worsening humanitarian situation in the country (reaching the highest UN level of emergency, with 80% of the population in need of some humanitarian aid, by mid-2015) and the hardening of negotiating positions of the two sides of the conflict. The intensification of fighting following the internationalization of the conflict and the de facto naval blockade imposed by the Saudi-led coalition, claiming to act under the authorization of UNSCR 2216, significantly hindered the delivery of humanitarian assistance and commercial goods, including basic commodities such as food and fuel, to Yemen. Since then, the focus of the Security Council has been primarily on supporting the mediation efforts of the UN Special Envoy (Ould Cheikh Ahmed was appointed on 25 April 2015 to replace Jamal Benomar who resigned on 15 April 2015), encouraging humanitarian pauses, and renewed negotiations without preconditions, rather than pursuing further sanctions measures.

Since the beginning of the intervention, significant progress on UN-led mediation was hindered by the availability of regional support for the two sides of the conflict (Iran provided limited support to Houthis, while Saudi Arabia and the rest of the coalition backed exiled Hadi) and the military developments on the ground. During the initial phase of the conflict, when the Houthi/Saleh forces continued to expand southwards and the Hadi government enjoyed strong international support, the parties refused to meet face-to-face and participated in the June 2015 UN-sponsored talks in Geneva primarily to make demands. The situation changed substantially in July 2015 after the Saudi-led coalition recaptured Aden, which presented the first major Houthi/Saleh military defeat and led to the return of the exiled President Hadi and the subsequent establishment of two competing governments on Yemeni soil. In August 2015, the Houthis and Saleh's GPC party offered significant concessions in line with the demands of UNSCR 2216, including withdrawal from cities. Encouraged by the victory, the Yemeni government rejected the proposal and the Saudi-led coalition escalated the military operation by deploying ground troops to push the Houthi/Saleh forces back north. However, coalition advances stalled in September 2015, reaching a military stalemate and increasing both sides' willingness to negotiate. The parties subsequently agreed on a common basis for future talks (Muscat principles) and a new round of direct talks on a number of substantive issues was convened in Geneva in December 2015. However, no agreement was reached and former President Saleh subsequently declared that he would not negotiate with President Hadi but with Saudi Arabia, for the first time publicly announcing that he was fighting side by side with the Houthis. While fighting between the two loose coalitions continued throughout 2015, southern separatist and Islamist groups like AQAP and ISIL increasingly gained footholds in the south and the humanitarian situation in the country continued to worsen, largely as a result of the coalition’s de facto naval blockade. Although the establishment of a UN Verification and Inspection Mechanism (UNVIM) to increase food and fuel imports to Yemen was agreed in August 2015, it did not become fully operational until May 2016.

2016

In the beginning of 2016, fighting intensified and the asset freeze and travel ban sanctions measures were renewed for another year by UNSCR 2266 (24 February 2016). The January 2016 Panel of Experts report documented specific instances of international law violations on both sides and recommended the establishment of an independent commission of inquiry. An earlier attempt to create an investigation body via the Human Rights Council, as well as a later reference to Saudi-led coalition's responsibility for 60 percent of child casualties and almost 50 percent of attacks on hospitals and schools in Secretary-General's June 2016 annual report on children and armed conflict, were unsuccessful.

A new round of UN-led negotiations began in Kuwait on 21 April 2016. In preparation for the talks, a nationwide cessation of hostilities was declared on 10 April 2016 and a De-escalation and Coordination Committee (DCC), including representatives from both sides of the conflict, to address reported ceasefire violations was established. On 25 April 2016, the Security Council issued a Presidential statement that welcomed the launch of the peace talks and the cessation of hostilities, calling on all Yemeni parties to cooperate with the DCC, negotiate without preconditions, and develop a roadmap for implementation of interim security measures, withdrawals, handover of heavy weapons, restoration of state institutions, and the resumption of political dialogue in line with the relevant UNSCR, GCC Initiative and Implementation Mechanism, and the outcomes of the NDC (S/PRST/2016/5). In May 2016, the Secretary-General strengthened the Office of the Special Envoy for Yemen to support the ongoing negotiations (S/2016/488). The Special Envoy Ould Cheikh Ahmed presented a roadmap to return to a peaceful political process in June 2016, but the two parties disagreed on the sequencing of the steps. The Houthis/Saleh's GPC wanted an agreement on a unity government before withdrawing and disarming, while President Hadi insisted on them taking these actions first (in line with UNSCR 2216 demands), threatening to boycott the talks if the creation of a unity government was part of the roadmap. On 28 July 2016, the Houthis and Saleh's GPC announced an agreement on the formation of a new joint governing body, the Supreme Political Council, to replace the Houthi’s Revolutionary Committee ruling Yemen since February 2015, in direct violation of UNSCR 2216. Although the Yemeni government conditionally agreed to the UN proposal that postponed the discussion on the formation of a unity government until a later stage and the Houthis/GPC held off on establishing the new governing body, the talks collapsed on 6 August 2016 with the Houthis backing out last minute from signing an agreement (S/PV.8191).

Fighting subsequently intensified and the humanitarian and economic situation in the country deteriorated as the Saudi-led coalition imposed a ban on commercial flights from Sana’a and the Yemeni Central Bank faced depleted reserves and liquidity crisis, leaving it unable to pay civil servant salaries. In an effort to establish facts on the ground, the Houthis/GPC formed the Supreme Political Council and Hadi ordered to move the Houthi-controlled Central Bank to Aden, effectively fragmenting the authority in the country between two competing power-centers. In October 2016, the Special Envoy presented a new roadmap for negotiations that envisaged the replacement of Hadi by a mutually accepted Vice-President. Despite the pressure exerted by the mediator as well as the US, which together with Saudi Arabia, UAE, and the UK formed a so-called “Quad” in July 2016 to push forward the Yemeni political process (later joined by Oman to form a “Quint”), both parties rejected the new roadmap. The UK, as penholder on Yemen, initially signaled its intention to pursue a resolution to support the mediator’s efforts but withdrew it following Saudi pressure, even as the UN Emergency Relief Coordinator Stephen O'Brien warned in late October that the country was “one step away from famine” and 80% of the population was in need of some form of humanitarian assistance.

2017

In 2017, fighting further intensified and the parties’ positions hardened. In January 2017, the coalition launched a new offensive to capture the Red Sea port of Mokka, while preventing the World Food Programme’s efforts to increase the capacity of the port of Hodeidah, the main entry point of food, fuel, and humanitarian assistance destined for Houthi-controlled areas, through the delivery of cranes that would speed up the off-loading of cargo. The following month, the Houthis sought the replacement of the Special Envoy by the Secretary-General and Hadi sought the designation of the Houthis as a terrorist organization by the Security Council, while the US – under the Trump administration – started to decrease its active pro-mediation role, focusing on targeting of terrorist organizations operating in Yemen and highlighting Iran’s support of the Houthis instead. The Special Envoy sought to broker an agreement on Hodeidah in May 2017, but was unable to meet with Houthi/GPC representatives and faced an attack on his convoy following his arrival in Sana’a. On 5 June 2017, the Houthis announced they would no longer engage with the Special Envoy, accusing him of bias.

The Security Council renewed asset freeze and travel ban measures on 23 February 2017 (UNSCR 2342) but otherwise remained relatively inactive under strong Saudi pressure not to shift the terms of reference away from UNSCR 2216. The situation began to change in June 2017, when – following Special Envoy calls for support and frustration of some members with Council’s inaction – the Security Council adopted a Presidential Statement supporting the efforts of the Special Envoy, calling on the parties to engage in peace talks “in a flexible and constructive manner without preconditions,” and expressing concerns about the threat of famine, encouraging the strengthening of UNVIM, increasing the capacity of ports, access to Sana’a airport, as well as mobilization of pledged funds (S/PRST/2017/7). The Statement also called on the Houthis/Saleh forces to stop attacks on Saudi Arabia and called on all states to fully implement the UNSCR 2216 arms embargo “as required by the Security Council resolutions.” Although the resolution authorized member states to inspect cargo coming to Yemen, it limited it to cases where reasonable grounds for sanctions violations existed and imposed a subsequent reporting requirement. The Saudi-led coalition has routinely gone beyond the authorization and inspected vessels without providing reports or regard for their clearing by the UNVIM. The humanitarian situation was further worsened by a cholera epidemic, which erupted in April 2017 and quickly became severe. The Security Council reiterated its concern over the threat of famine in Yemen in 9 August 2017 Presidential Statement (S/PRST/2017/14) and the Human Rights Council approved the creation of a Group of Eminent International and Regional Experts to monitor and report human rights situation in Yemen in its 29 September 2017 resolution (A/HRC/36/31). The group was created two months later, followed by the coalition’s agreement to allow the delivery of cranes to Hodeidah, a deposit of $2 billion in the Central Bank of Yemen, and a contribution to the UN’s Yemen Humanitarian Response Plan.

Although the areas controlled by the two sides had remained largely the same since the outbreak of the conflict in March 2015, significant political shifts on the ground took place in 2017. In the south, Hadi’s dismissal of Aden’s governor led to the creation of the pro-independence Southern Transitional Council (STC) in May 2017. An ensuing series of defections among government units and the creation of UAE-proxy forces loyal to the STC left Hadi without effective control over the military or security forces in the south. In the north, the Houthi/Saleh alliance began to unravel in August 2017 and a full scale conflict between the former allies erupted on 1 December. Saleh was killed by the Houthis on 4 December 2017, after he publicly indicated his willingness to turn a “new page” with the Saudi-led coalition. The Houthis subsequently moved to consolidate their hold on power, crushing or coopting Saleh’s network in the north.

In response to missile launches against Saudi Arabia, the Saudi-led coalition tightened its control over Yemen’s land, air, and sea ports in November 2017. The January 2018 Panel of Experts report identified widespread violations of international law by all parties, warned that the Yemeni state has fractured into “warring statelets,” found Iran in non-compliance with UNSCR 2216 over missiles fired by Houthis at Saudi Arabia, and asserted that the Saudi-led coalition blockage was “essentially using the threat of starvation as a bargaining tool and an instrument of war.” The internal Security Council dynamic also shifted towards more active, critical, and balanced standpoints on the conflict under the influence of a number of non-permanent members since late 2017.

2018

The first half of 2018 was marked by rising concerns about an impending Saudi attack on the port of Hodeidah, which the Security Council previously described as “a critical lifeline for humanitarian support and other essential supplies” (S/PRST/2017/7). Despite significant efforts of the new Special Envoy Martin Griffiths (in office since March 2018), as well as the Council’s call for “sustained and full opening” of the Hodeidah port in its March Presidential Statement (S/PRST/2018/5), the Saudi-led coalition launched an attack on the port on 13 June 2018, justifying it to the Security Council as “the most effective way to bring the Houthis to the negotiating table and end the conflict” (S/2018/607). The attack began less than one week before the Special Envoy was due to brief the Council on his new framework for negotiations. The coalition offensive was paused on 23 June 2018 to give Griffiths time to negotiate a Houthi withdrawal. Fighting resumed after the September 2018 talks between the parties in Geneva failed over the Houthis refusing to attend. However, following the increase of international pressure on Saudi Arabia over the murder of Saudi journalist Jamal Khashoggi, the parties met in Sweden in December 2018, reaching an agreement on (1) the city of Hodeidah and the ports of Hodeidah, Salif, and Ras Issa, (2) a prisoner exchange between Houthis and the Hadi government, and (3) a statement of understanding on Taiz. The 13 December 2018 Stockholm Agreement (S/2018/1134) was endorsed by the Security Council in UNSCR 2451 (21 December 2018), which also authorized the deployment of a team to monitor and facilitate the Agreement’s implementation. The ceasefire in Hodeidah went into effect on 18 December 2018 and the Security Council authorized the establishment of a UN Mission to support the Hodeidah Agreement (UNMHA) on 16 January 2019 (UNSCR 2452).

2019

Despite international support for the Stockholm Agreement, its implementation remained limited and follow-up talks planned for January 2019 were postponed indefinitely. A plan for the redeployment of forces from Hodeidah was agreed on 17 February 2019, but progress remained stalled over the definition of “local security forces” that were to take control over the city and authorities to manage the port’s revenues. The Security Council renewed the individual travel ban and asset freeze for another year on 26 February 2019 (UNSCR 2456) and repeatedly called on parties to implement the Stockholm Agreement as well as the agreed Hodeidah forces redeployment (SC/13713 and SC/13785), while the Sanctions Committee conducted its first visiting mission to the region since the establishment of the sanctions regime in 2014. Encouraged by the UN, the Houthis began to unilaterally withdraw from Hodeidah in May 2019, but simultaneously increased their drone attacks on Saudi Arabia. The Hadi government protested the Houthi withdrawal as insufficiently monitored and raised formal objections to the Special Envoy with the Secretary General. The Security Council reiterated its full support for the Special Envoy, called on the parties to engage with him, and urged them to implement the Hodeidah Agreement in June 2019 (SC/13834) and extended the mandate of UNMHA in July 2019 (through UNSCR 2481, and periodically every six months thereafter).

In August 2019, the UAE-backed STC took over Aden, Yemen’s interim capital since the outbreak of the conflict, fracturing the anti-Houthi coalition and further weakening the Hadi government’s position in the country. Saudi Arabia-mediated talks between the government and the STC culminated in the 5 November 2019 Riyadh Agreement that outlined a number of political, economic, military, and security arrangements, including a power-sharing agreement and the unification of government and STC forces. According to the January 2020 Panel of Experts report, the agreement also effectively granted Saudi Arabia, which following the UAE’s withdrawal of forces in mid-2019 expanded its operations to the south of Yemen, “direct supervision over military decisions that would otherwise be within the exclusive prerogative of the Government of Yemen.”

In the north, the Houthis continued their drone and missile attacks on Saudi Arabia. The cross-border strikes culminated in the 14 September 2019 attacks against two Saudi Aramco oil facilities, which were claimed by the Houthis, but judged by the Panel of Experts as unlikely to have been perpetrated by them, with the US, UK, France, and Germany pointing to Iran as the likely culprit. On 20 September 2019, the Houthis announced a halt on attacks against Saudi Arabia and the two parties subsequently entered into bilateral talks, which led to a decrease in hostilities, mutual release of prisoners, and the opening of a UN operated air bridge out of Sana’a airport for medical flights.

2020

However, the talks broke down and fighting resumed in January 2020. The Security Council called for an immediate cessation of the hostilities on 30 January 2020 (SC/14094) and renewed the individual travel ban and asset freeze for another year on 25 February 2020, adding a case-by-case exemption provision (UNSCR 2511). In March 2020, the Houthis seized new territory in the north and fighting continued despite SG and Security Council calls for Covid-19-related ceasefire, as well as the unilateral cessation of hostilities declared by the Saudi-led coalition between mid-April and mid-May 2020. The domestic situation was complicated further after the STC declared self-rule on 25 April 2020, in violation of the November 2019 Riyadh Agreement between the STC and the Hadi government. With the government and the Houthis fighting in the north and the government and the STC fighting in the south, the Security Council condemned the escalation of violence and called on all parties to agree to mediated proposals on 29 June 2020 (SC/14233). While the coalition airstrikes as well the Houthi drone and missile strikes on Saudi Arabia continued, the STC rescinded their demands for self-administration and recommitted to implementing an adjusted Riyadh Agreement on 28 July 2020, which was welcomed by the Security Council on 16 October 2020 (SC/14329). On the diplomatic front, an exchange of prisoners under the 2018 Stockholm Agreement took place in October 2020 and a new unity government with the STC was formed in accordance with the Riyadh Agreement in December 2020.

2021

On 10 January 2021, the outgoing US administration designated the Houthis a foreign terrorist organization as part of its “maximum pressure” strategy against Iran, raising concerns about the negative impact of the decision on the peace process and the already dire humanitarian situation in Yemen (the Houthis control about one third of Yemen’s territory and two thirds of its population). The decision was revoked the following month by the new Biden administration, which also appointed a US special envoy for Yemen to strengthen diplomatic efforts to find a peaceful solution to the conflict and ended US support for offensive operations against the Houthis. On 25 February 2021, the Security Council renewed the individual travel ban and asset freeze for another year and imposed asset freeze, travel ban, and a targeted arms embargo on a Houthi official, Sultan Saleh Aida Aida Zabin, for his “prominent role in a policy of intimidation and the use of systematic arrest, detention, torture, sexual violence, and rape of politically active women” (UNSCR 2564). His death was announced by the Houthis in April 2021.

Following an intensification of fighting in early 2021, Saudi Arabia proposed a ceasefire, confidence-building measures, and resumption of peace talks on 22 March 2021 and held talks with Iran in April 2021 (first since severing relations in 2016). Diplomatic efforts by the UN, US, Saudi Arabia, and Oman continued, but the negotiations remained stalled and tensions between the government and the STC escalated in June 2021. On 6 August 2021, the UN Secretary-General announced the appointment of Hans Grundberg as his Special Envoy for Yemen, replacing Martin Griffiths who stepped down in June 2021. Amidst ongoing fighting and Houthi territorial gains in the north, the Security Council on 20 October 2021 expressed its support for the for the UN Special Envoy and demanded a nation-wide ceasefire (SC/14671). On 9 November 2021, following Russia’s failure to raise its objections on time, the Security Council Sanctions Committee designated three top Houthi military commanders for their involvement in the Marib offensive, cross-border attacks against Saudi Arabia, and arms smuggling (SC/14695). Also in November, the Houthis seized the closed US Embassy compound in Sana’a (which was condemned by the Security Council in SC/14707) and took control over the critical port city of Hodeidah, following the unexpected withdrawal of government-affiliated Joint Forces not notified to UNMHA, which is mandated with facilitating the implementation of the Hodeidah Agreement.

2022

Fighting intensified further in early January 2022, with the government reinforced by UAE-backed forces reversing Houthi advances in Shabwa and Marib governorates and retaliatory vessel seizure and cross-border attacks launched by the Houthis against the UAE. The UAE – which is a leading member of the anti-Houthi coalition and retains significant political influence over the STC and the Joint Forces led by Tareq Saleh (nephew of former President Ali Abdullah Saleh) – joined the UN Security Council in January 2022, altering its dynamics. Most notably, the UAE initiated the January 2022 press statement condemning the “heinous terrorist attack” in the UAE (SC/14771) and succeeded in including a reference to “the Houthi terrorist group” and in adding cross-border launches using ballistic and missile technology and attacks on merchant vessels as criteria for sanctions designation in UNSCR 2624 (28 February 2022). The resolution also renewed for another year the asset freeze and travel ban provisions and imposed a targeted arms embargo on the Houthis. Unlike some of their members, the Houthis, as a group, are not subject to UN asset freeze or travel ban. The application of a terrorist label to the Houthis raised concerns about potential negative impacts, including on humanitarian activities, resulting in abstentions by Brazil, Ireland, Mexico, and Norway. UNSCR 2624 also stressed the need for an inclusive political process.

The military and political situation in Yemen changed significantly in April 2022. On 1 April 2022, the UN Special Envoy announced a two-month truce to begin the following day. The UN-brokered truce, which was the first since 2016, was subsequently extended for further two months in June and August 2022. It included a halt to all offensive ground, aerial, and maritime operations inside and outside of Yemen, as well as provisions for the entry of fuel ships into Hodeidah ports and the resumption of commercial flights to and from Sana’a airport. On 7 April 2022, the internationally recognized President of Yemen, Abd Rabbuh Mansur Hadi, who has led Yemen since 2012, dismissed Vice-President Ali Mohsen al-Ahmar and transferred his powers to a new eight-person Presidential Leadership Council (PLC) led by his former adviser Rashad al-Alimi. The PLC, which is composed of representatives of different groups opposed to the Houthis, was sworn in on 19 April 2022. The executive body was tasked with negotiating a political solution to the conflict and given authority over political, military, and security affairs. The formation of the PLC was followed by the same-day announcement of additional financial support by Saudi Arabia and the UAE and welcomed by the Security Council on 13 April (SC/14861). During the six months the truce was in place, it led to a significant reduction of violence, decrease in fuel shortages, and improved humanitarian situation in the country.

Despite ongoing UN mediation efforts, the parties were not able to reach an agreement on the re-opening of roads in Taiz and other governorates. The Houthis attempted to seize the government-controlled road by force on 28 August 2022, which the Security Council condemned on 12 September 2022 together with the military parade held in Hodeidah in violation of the December 2018 Hodeidah Agreement (SC/15025). On 26 September 2022, the Sanctions Committee designated two Houthi officials, one for his responsibility in maritime attacks, another for overseeing torture and mistreatment of detainees, arrests of humanitarian workers, and unlawful diversion of humanitarian assistance. A third designation of the commander of Houthi unmanned aerial vehicles (UAV) program was added on 4 October 2022, following the failure of the parties to extend the truce that expired on 2 October 2022, which was largely due to the Houthis’ unreasonable demands of salaries of military and security personnel and their refusal to lift the siege of Taiz. The Security Council stressed the “maximalist demands” of the Houthis in the final days of negotiations and called on all parties to engage in UN-led negotiations and work towards truce, stressing its tangible benefits (SC/15054).

Following the lapse of the truce on 2 October 2022, major fighting has not resumed, but efforts to undermine each other economically escalated. In October and November 2022, the Houthis conducted a series of drone attacks to prevent oil exports by the Yemeni government, prompting their designation as a terrorist organization by the PLC, the internationally-recognized government of Yemen. To weaken the economic capability of the government, the Houthis also banned currency notes issued by the Central Bank of Yemen in Aden and adopted divisive economic and banking policies. According to the January 2023 Panel of Experts report, the Houthis’ continued to control both legal and illegal sources of revenue, including custom duties, taxes, zakat, confiscation of land, properties, and bank deposits, black market trade in and illegal fees from fuel, smuggling, and foreign funding. The report also noted the increase in civilian casualties due to landmines and unexploded ordnance during the six-months truce and the trafficking of chemicals that could be used by the Houthis as precursors for explosives, oxidizers for solid fuel propellants, or other military purposes. The Panel was one expert short in 2022 and 2023 due to repeated UAE objections to the proposed candidates.

2023

On 15 February 2023, the Security Council adopted UNSCR 2675, renewing the travel ban and asset freeze provisions until 15 November 2023. The shorter renewal was pursued to allow the Security Council to consider the situation in light of the outcome of the Omani-facilitated Saudi-Houthi negotiations initiated in October 2022 and enable the UAE to weigh in on the Security Council’s deliberations before it leaves the Council at the end of the year. Amidst an uptake of parallel diplomatic initiatives to resolve the Yemeni conflict, China facilitated the resumption of diplomatic relations between Iran and Saudi Arabia on 10 March 2023 and the Houthis and the Yemeni government agreed to release over 800 conflict-related detainees on 20 March 2023 under the Stockholm Agreement. In addition, a high-level Saudi delegation visited Houthi-held Sana’a in April 2023 and commercial flights between Sana’a and Saudi Arabia resumed in June 2023, though a bilateral Saudi-Houthi agreement remained elusive. Overall, while military clashes have periodically escalated since March 2023, fighting has not resumed in full force and elements of the truce – such as the reopening of Sana’a airport and fuel imports to Hodeidah – continue to hold, despite the expiry of the truce on 2 October 2022.


Coerce

Coerce all Yemeni parties to reach an agreement and return to the implementation of the agreed upon political transition process (in line with the GCC Initiative and Implementation Mechanism, outcomes of the NDC, the PNPA, and the Stockholm Agreement) and coerce the Houthis to end the use of violence, withdraw forces, relinquish seized arms, release all political prisoners, and cease actions exclusively within the authority of the legitimate Government of Yemen.

Constrain

Constrain all Yemeni parties from engaging in unilateral actions undermining the political transition in Yemen.

Signal

Signal support for the agreed upon transition process, legitimacy of President Hadi and the subsequent Presidential Leadership Council, and international humanitarian and human rights law.


Mandatory

Ongoing travel ban and asset freeze.

Newly imposed targeted arms imports embargo (on designated individuals / entities).


Current and maximum number of designees during the episode: 12 individual asset freeze, travel ban, and targeted arms imports embargo designees (former President Saleh, his son Ahmed, the Houthi leader, seven Houthi military commanders, and two Houthi security officials) and 1 entity subject to targeted arms import embargo (the Houthis).

Current list of sanctions designees:

https://www.un.org/securitycouncil/sanctions/2140/sanctions-list-materials


Potential scope of impact

Low

UN sanctions should have little impact on the general population since they are focused exclusively on specific individuals and entities.


Sanctions from previous episode imposed for a limited time period (1 year) and renewed periodically. Newly imposed targeted arms imports embargo in place indefinitely. Sanctions Committee and Panel of Experts in place. Designation criteria were specified and targets designated. Enforcement authorities specified.

Panel of Experts reports:

https://www.un.org/securitycouncil/sanctions/2140/panel-of-experts/work-and-mandate/reports


Coercion

Ineffective

Policy outcome

In the early part of the episode, there was little progress on returning to the agreed upon political transition or implementing any of the UN-mediated political agreements and both parties preferred to improve their positions militarily. While offering significant concessions early in the episode when the government was intransigent, the Houthis have not complied with UNSCR 2216 demands. The parties have continued to participate in various peace negotiations, but became more open to a negotiated agreement only later in the episode. Limited diplomatic progress has been achieved since 2018 and fighting has decreased following the April 2022 truce.

Sanctions contribution

The introduction of targeted arms embargo and the later targeting of the Houthis as a group had little effect on conflict dynamics or parties’ decision to engage in negotiations. The parties’ international backing, military developments on the ground, and various mediation efforts were more important to the outcome.

Constraint

Ineffective

Policy outcome

Fighting between the Houthis (until December 2017 allied with Saleh forces) and the various Yemeni anti-Houthi forces (backed by the Saudi-led coalition) continued despite a significant decrease in violence since April 2022 and both sides have tried to influence their future roles in the political transition through unilateral actions and the use of force. According to the Panel of Experts reports, the Houthis continue to be able to bypass the arms embargo (due to shipments from Iran and elsewhere), engage in cross-border attacks against Saudi Arabia and the UAE, fund their activities through a number of legal and illegal sources, including taxes and confiscations of the Saleh family’s and government’s assets inside Yemen, and undermine the Yemeni government economically.

Sanctions contribution

Military developments and diplomatic efforts, including by successive UN Special Envoys, were more significant in constraining unilateral actions and influencing the parties' positions regarding the political process than sanctions.

Signaling

Ineffective

Policy outcome

The need to return to previously agreed upon political transition and comply with international law were clearly articulated, but the subsequent use of UNSCR 2216 by the Saudi-led coalition to validate its naval blockade (which contributed to the worsening humanitarian situation in Yemen) and by the Yemeni government to justify its maximalist positions (which help undermine UN-mediation efforts), as well as the initially muted criticism of the coalition's humanitarian law violations, diffused the signal. The progressive support for a more inclusive process later in the episode has helped strengthened the signal. The legitimacy of President Hadi was clearly articulated, but his domestic support has become virtually non-existent. Hadi’s transfer of power to the more representative Presidential Leadership Council in April 2022 increased the perceived legitimacy of the internationally recognized government, while designations of individuals for human rights and international humanitarian law violations helped strengthen signaling in that area.

Sanctions contribution

Mediation efforts to reach a political agreement and negotiate humanitarian pauses, including by the UN Special Envoys, and the results of military confrontations have been more important to the outcome.

Overall

Ineffective

Increase in human rights violations, increase in international enforcement capacity, humanitarian consequences, decline in the credibility and/or legitimacy of UN Security Council.


14-04-2015

Substantive

  • Lists Houthis specific demands.
  • Imposes financial asset freeze and travel ban on new designees (listed in Annex).
  • Imposes targeted arms imports embargo on designated individuals/entities (listed in resolution text and Annex).
  • Calls for MS inspection, if reasonable grounds for sanctions violation, and authorizes them to seize and dispose of such items.
  • Specifies that designation criteria may also include obstructing delivery or distribution of humanitarian assistance.

Procedural

  • Modifies Sanctions Committee mandate.
  • Requires MS reporting upon inspection.

24-02-2016

Substantive

  • Renews UNSCR 2140 asset freeze (until 26.02.2017).
  • Renews UNSCR 2140 travel ban (until 26.02.2017).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).

Procedural

  • Extends Panel of Experts mandate (until 27.03.2017), requesting its re-establishment by Secretary-General.
  • Calls for MS reporting.

23-02-2017

Substantive

  • Renews UNSCR 2140 asset freeze and travel ban (until 26.02.2018).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).
  • Reaffirms UNSCR 2140 and 2216 designation criteria.

Procedural

  • Extends Panel of Experts mandate (until 28.03.2018), requesting its re-establishment by Secretary-General.
  • Calls for MS reporting.
  • Recalls MS reporting upon inspection requirement.

26-02-2018

Substantive

  • Renews UNSCR 2140 asset freeze and travel ban (until 26.02.2019).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).
  • Reaffirms UNSCR 2140 and 2216 designation criteria.

Procedural

  • Extends Panel of Experts mandate (until 28.03.2019), requesting its re-establishment by Secretary-General.
  • Calls for MS reporting.
  • Recalls MS reporting upon inspection requirement.

26-02-2019

Substantive

  • Renews UNSCR 2140 asset freeze and travel ban (until 26.02.2020).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).
  • Reaffirms UNSCR 2140 and 2216 designation criteria.

Procedural

  • Extends Panel of Experts mandate (until 28.03.2020), requesting its re-establishment by Secretary-General.
  • Calls for MS reporting.
  • Recalls MS reporting upon inspection requirement.

25-02-2020

Substantive

  • Renews UNSCR 2140 asset freeze and travel ban (until 26.02.2021).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).
  • Adds a case-by-case exemption for any activity determined to be necessary to facilitate the work of the UN and other humanitarian organizations, or any other purpose consistent with the objectives of UNSCR 2140 and 2216.
  • Reaffirms UNSCR 2140 and 2216 designation criteria.
  • Affirms that sexual violence and recruitment or use of children in armed conflict could lead to sanctions designations.

Procedural

  • Extends Panel of Experts mandate (until 28.03.2021), requesting its re-establishment by Secretary-General.

25-02-2021

Substantive

Existing sanctions
  • Renews UNSCR 2140 asset freeze and travel ban (until 28.02.2022).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).
  • Reaffirms UNSCR 2140 and 2216 designation criteria.
New sanctions
  • Imposes individual asset freeze, travel ban, and arms imports embargo on a new designee (listed in Annex).

Procedural

  • Extends Panel of Experts mandate (until 28.03.2022), requesting its re-establishment by Secretary-General.

28-02-2022

Substantive

  • Demands the immediate cessation of cross-border attacks by the Houthi terrorist group.
Existing sanctions
  • Renews UNSCR 2140 asset freeze and travel ban (until 28.02.2023).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).
  • Reaffirms UNSCR 2140 and 2216 designation criteria.
New sanctions
  • Imposes individual arms imports embargo on the Houthis (listed in Annex).
Enhanced implementation measures
  • Urges MS to implement their obligations and increase their efforts to ensure implementation of the targeted arms embargo.

Procedural

  • Extends Panel of Experts mandate (until 28.03.2023), requesting its re-establishment by Secretary-General.

09-12-2022

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.
  • 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).

15-02-2023

Substantive

  • Renews UNSCR 2140 asset freeze and travel ban (until 15.11.2023).
  • Reaffirms UNSCR 2216 targeted arms imports embargo (individual/entity).

Procedural

  • Extends Panel of Experts mandate (until 15.12.2023), requesting its re-establishment by Secretary-General.