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Begin New Search Topic Sanctions Content Type Special Report Publication Year within 5 Years Publication Year within 1 Year

1. Using Targeted Sanctions to Help Prevent Mass Atrocities: Results from Interviews with Experienced Practitioners

Author:
Tallan Donine, Kyra Fox, Daniel Solomon, Alex Vandermaas-Peeler, and Lawerence Woocher
Publication Date:
01-2023
Content Type:
Special Report
Institution:
Simon-Skjodt Center for the Prevention of Genocide, United States Holocaust Memorial Museum
Abstract:
The Simon-Skjodt Center’s “lessons learned” project aims to understand better how policy makers, across all levels of government, can take effective action to prevent mass atrocity crimes and protect civilian populations in situations where they face serious threats of group-targeted, systematic violence. We have sought to identify, distill, and organize insights on a range of policy tools—ranging from “naming and shaming” to sanctions to prosecutions—which are sometimes used to help prevent or respond to mass atrocities. To complement our review of the empirical research literature on the use of targeted sanctions, we conducted interviews with people who had substantial policy or operational experience working in the US government on targeted sanctions prior to 2021. The premise for the interviews is that experienced practitioners have important insights about when and how targeted sanctions can be most effective in helping prevent mass atrocities.3 While one can find many ideas about how to use targeted sanctions most effectively, none that we are aware of are: (1) focused specifically on the use of targeted sanctions for mass atrocity prevention and (2) based on the collective perspectives of a set of experienced practitioners. This report summarizes the results of the interviews with experienced targeted sanctions practitioners. Details on the methods employed and the interview respondents are presented in appendices.
Topic:
Foreign Policy, Economics, Sanctions, and Atrocity Prevention
Political Geography:
Global Focus

2. Authoritarian kleptocrats are thriving on the West’s failures. Can they be stopped?

Author:
Francis Shin and Ben Judah
Publication Date:
01-2023
Content Type:
Special Report
Institution:
Atlantic Council
Abstract:
A hidden web of power revealed itself to Internet users in early 2022. Following a brutal government crackdown in Kazakhstan in January, anyone using open-source flight-tracking websites could watch kleptocratic elites flee the country on private jets. A little more than a month later, Russia’s invasion of Ukraine brought a new spectacle: social media users were able to track various oligarchs’ superyachts as they jumped from port to port to evade Western sanctions. These feeds captured a national security problem in near real time: In Eurasia and beyond, kleptocratic elites with deep ties to the West were able to move themselves and their assets freely despite a host of speeches by senior officials, sanctions, and structures designed to stop them. Kleptocratic regimes—kleptocracy means “rule by thieves”—have exploited the lax and uneven regulatory environments of the global financial system to hide their ill-gotten gains and interfere in politics abroad, especially in the United States, the United Kingdom, and the European Union. They are aided in this task by a large cast of professional enablers within these jurisdictions. The stronger these forces get, the more they erode the principles of democracy and the rule of law. Furthermore, the international sanctions regime imposed on Russia in response to its invasion of Ukraine has little hope of long-term success if the global financial system itself continues to weaken. The West still has a long way to go to rein in the authoritarian kleptocrats who have thrived on the institutional dysfunction, regulatory failure, and bureaucratic weakness of the transatlantic community for far too long. We need to rethink not just how we combat kleptocracy, but also how we define it. Policy makers need to understand that authoritarian regimes that threaten transatlantic security are closely linked to illicit financial systems. As it stands, our thinking about how foreign corruption spreads is too constrained by stereotypes about kleptocratic goals and actions.
Topic:
Corruption, Diplomacy, Intelligence, Politics, Sanctions, Authoritarianism, Reform, European Union, Regulation, Finance, Economy, Rule of Law, and Russia-Ukraine War
Political Geography:
Russia, United Kingdom, Europe, Ukraine, Canada, and United States of America

3. Economic Sanctions During Humanitarian Emergencies: The Case of North Korea

Author:
Stephan Haggard and Marcus Noland
Publication Date:
01-2023
Content Type:
Special Report
Institution:
East-West Center
Abstract:
North Korea is experiencing yet another cycle of humanitarian distress. While sanctions are not the primary cause, they are a contributing factor. This essay examines the channels through which sanctions affect the North Korean economy and reaches four conclusions: First, sanctions have contributed to a deterioration of economic performance. Second, the UNSC’s 1718 Sanctions Committee should consider a thorough review to identify goods that would warrant blanket humanitarian financial sanctions have raised the risk premium on all financial transactions with North Korea; the sanctioning authorities need to do a better job of clarifying transactions permissible under humanitarian exemptions. Finally, while the global community should reassess its policies, the government of North Korea bears responsibility as well. The benefits of sanctions relief will be diminished if North Korea refuses to engage constructively with the international community on a broader range of issues running from basic humanitarian relief to economic reform.
Topic:
International Relations, Economics, Politics, Sanctions, and Humanitarian Crisis
Political Geography:
Asia and North Korea

4. Alternative Aid Modalities: Community development

Author:
Scott Guggenheim and Charles Petrie
Publication Date:
04-2023
Content Type:
Special Report
Institution:
Center on International Cooperation
Abstract:
Economic sanctions and restrictions on development aid in fragile and conflict-affected states have become an increasingly prominent part of the international toolkit for dealing with regimes that violate international norms and rules or are beset by conflict. However, there is a well-known problem: sanctions and cessations of development aid often end up hurting the poor more than the rich, particularly the political elites who the sanctions are most meant to target. Donors try to limit the impact of sanctions on the poor through humanitarian assistance, usually run by United Nations (UN) agencies and non-governmental organizations (NGOs). However, in all but the smallest countries, this is extremely expensive as well as a major organizational and logistical challenge. Most recently, situations such as those in Myanmar and Afghanistan have thrown the spotlight on the complexity of the discussion. In a world of no first-best solutions, a close look at empirical experience will show (provided certain pre-conditions can be met) that donors can partially bridge the challenge of simultaneously upholding human rights values and protecting the poorest from the economic fallout caused by sanctions. These solutions require close attention to unpacking complex environments and using a difficult-to-wield set of tools spread over diplomacy, economic power, and development aid. While not all risks can be eliminated, a variety of flexible tools already exists so that donors can help the poor in sanctioned and conflict-affected countries without undermining diplomatic goals of shunning the government elites or inadvertently financing insurgencies. With a growing number of donor-funded community programs in fragile or conflict-affected states, there are also donor concerns about legitimating national authorities, risks of financial diversion, and capture by armed combatants or local elites (full list of major concerns listed below). This paper highlights and addresses these concerns in detail and offers a series of recommendations, which in addition to good donor program design and management could mitigate some of the risks (but not fully eliminate them). This paper aims to present a case on how to use one tool—community-based approaches for delivering and monitoring aid—in fragile or sanctioned contexts, as community-based local governance type development models have been used successfully in a variety of fragile, conflict, and sanctioned countries. Additionally, this paper will extract real-world illustrations of how these approaches can address donor concerns on providing post-humanitarian aid to poor people without unintentionally undermining sanctions on illegitimate regimes. Because the case literature on delivering aid under sanctions is small, the brief includes illustrations taken from aid delivery in conflict-affected countries, where governments may not be under sanction, but deep concerns remain about aid capture or aid further fueling conflict. Finally, in addition to selections from the literature, the report draws from the personal and professional experiences of the two authors, who have overseen or managed large-scale community-type humanitarian, peacebuilding, and development programs in Afghanistan, Burundi, East Timor, Gaza, Indonesia (including Aceh and West Papua), Myanmar, Rwanda, Sri Lanka, and Syria, and have been part of discussions over development options for countries under sanction in Ethiopia and Sudan. In this paper, authors propose ten recommendations for donors coming out of this research on how they can incorporate community-driven approaches for aid in sanctioned and fragile states situations.
Topic:
Development, Humanitarian Aid, Sanctions, and Community
Political Geography:
Afghanistan, Myanmar, and Global Focus

5. The Value of Reporting: National Reporting Practices under the UN Sanctions Regime on North Korea

Author:
David Atwood, Gian Giezendanner, and Sophie Timmermans
Publication Date:
04-2023
Content Type:
Special Report
Institution:
Small Arms Survey
Abstract:
The UN Security Council has imposed a broad range of sanctions on the Democratic People’s Republic of Korea, requesting member states to report on how they are implementing these measures. Many factors affect the national reporting practices of states, with some having failed to submit any reports. Reporting serves as an important measure of transparency and trust-building concerning state compliance with international commitments in general. The frequency and depth of reporting on national implementation of the sanctions by UN member states help to discern the regime’s effectiveness. Failure to meet reporting deadlines, the use of vague language, and limited information on national implementation all dampen the usefulness of reporting on the implementation of the DPRK sanctions regime. The Value of Reporting: National Reporting Practices under the UN Sanctions Regime on North Korea—a report from the Survey’s Strengthening Implementation and Enforcement of the Arms Embargo on North Korea (SAENK) project—highlights factors that affect reporting, providing a more nuanced picture of national practices. The report also examines national DPRK sanctions regime reporting in relation to reporting on other international arms control instruments, with the aim of revealing potential mutually beneficial synergies.
Topic:
Arms Control and Proliferation, United Nations, and Sanctions
Political Geography:
Asia, North Korea, and Global Focus

6. How Russia Went to War: The Kremlin’s Preparations for Its Aggression Against Ukraine

Author:
Kalev Stoicescu, Mykola Nazarov, Keir Giles, and Matthew Johnson
Publication Date:
04-2023
Content Type:
Special Report
Institution:
International Centre for Defence and Security - ICDS
Abstract:
This report examines Russia’s preparations for its full-scale invasion of Ukraine: domestically, in Ukraine itself, in the global information domain, and in building its relationship with China. For Russia, crushing Ukraine’s quest for democracy was central to meeting its objectives of reshaping the post-Cold War order in Europe and globally, restoring its own status, and reconstituting the Russian empire and Russian world. Its preparations in the political and informational, military, and economic domains for a full-scale war in Ukraine were too extensive and overt to go unnoticed, but they were not acted upon. It is hard to avoid the conclusion that the evidence went against the dominant narrative in the West and was simply brushed aside. In the political and informational domains, Russia’s domestic preparations including cementing the regime’s authority, and taking advantage of the population’s Soviet nostalgia and aspirations for the restoration of the Russian world and the empire. Limited economic preparations were intended to safeguard Russia’s economy against current and future Western sanctions, while Russia’s extensive military preparations involved large-scale defence spending and extensive military modernisation efforts. Russia’s preparations beyond its own territory included: a campaign within Ukraine to divide society and discredit the democratically elected leadership; a campaign directed at the rest of the world about Ukraine, discrediting the country and its people as an object of sympathy and support in their resistance against Russia; and a campaign of intimidation designed to instil in western leaders and populations a fear of obstructing, impeding, or offending Russia. Russia also worked to build a relationship with China. China’s support is essential to Putin’s ambitions. But equally, China’s strategy for confronting the United States – which China cannot do alone – depends on Russia remaining at least a quasi-great power.
Topic:
Security, NATO, Development, Sanctions, Military Affairs, European Union, Resilience, and Information Warfare
Political Geography:
Russia, China, United Kingdom, Europe, Asia, and United States of America

7. The Wagner Group’s Expanding Global Footprint

Author:
Raphael Parens, Colin P. Clarke, Christopher Faulkner, and Kendal Wolf
Publication Date:
04-2023
Content Type:
Special Report
Institution:
Foreign Policy Research Institute
Abstract:
1. The sanctions discussion needs to be expanded, as such designations should aim to shame Wagner’s state partners. 2. Sanctions lists should expand to include actors in third-party countries, such as Broker Expert LLC, a Russian-owned company widely reported to be shipping heavy machinery to support Wagner Group forestry activities in CAR, and First Industrial Company, a business owned by Wagner operator Dimitri Sytyi which concocts cheap “Russian” alcohol in Cameroon and sells it in CAR. 3. Perhaps one of the more important lessons for countering Wagner and other Russian PMCs is the importance of multilateralism. 4. NATO must also continue to consider proactive tools to counter Russian and other PMCs. 5. NATO should work to amplify efforts to push the adoption of the 2008 Montreux Document—an international agreement designed to reaffirm the legal obligations of states where PMCs originate and for those who hire them. 6. The Wagner Group and other Russian PMCs require consideration within a larger great power discussion, particularly as Russia’s invasion of Ukraine has firmly aligned Europe and the US against Russia. 7. US senior leaders should demonstrate a greater diplomatic commitment to African allies and put pressure on other African leaders considering, or currently contracting, the Wagner Group and other Russian PMC operations. 8. International bodies such as the African Union, ECOWAS, and the East African Community (EAC) should reevaluate their approaches to peacekeeping and instability. 9. Exploiting the friction between Wagner’s financier and the MoD should also be considered a worthwhile policy option. 10. Last, NATO members must formalize methods of blocking contact with the Wagner Group through their international activities.
Topic:
NATO, Sanctions, Wagner Group, and Russia-Ukraine War
Political Geography:
Russia, Europe, and Ukraine

8. Russia’s War in Ukraine: Critical Vulnerabilities to Russia’s Military Operations and Systems

Author:
Rob Lee and Philip Wasielewski
Publication Date:
06-2023
Content Type:
Special Report
Institution:
Foreign Policy Research Institute
Abstract:
Some of the critical vulnerabilities to Russia’s military operations and systems—revealed during the war in Ukraine—are due to its military culture and poor strategic choices at the beginning of the war including overly ambitious strategic aims. Deficiencies in Russian military culture include a highly centralized decision-making process, a disregard for the welfare of its soldiers, and flagrant dishonesty. Certain aspects of Russia’s military culture, especially the disconnect between front-line soldiers and senior officers, complicate the Russian military’s ability to adapt, develop solutions to obvious deficiencies, and institutionalize lessons learned from the battlefield. Other critical Russian military vulnerabilities are not inherent to its military culture but to Russia’s national demographic and industrial capabilities. Limits in these areas make it difficult for Russia to regenerate military power by either increasing the size of its military or increasing the quality of its weapons systems. Even if Russia’s military culture experiences a post-war military renaissance, its ability to regenerate military power lost in Ukraine will be limited by its declining population and industrial bases as well as Western sanctions on high technology.
Topic:
Sanctions, Armed Forces, Military Affairs, and Russia-Ukraine War
Political Geography:
Russia, Eurasia, and Ukraine

9. No Winners in This Game: Assessing the U.S. Playbook for Sanctioning China

Author:
Emily Kilcrease
Publication Date:
12-2023
Content Type:
Special Report
Institution:
Center for a New American Security (CNAS)
Abstract:
The relationship between the United States and the People’s Republic of China (PRC) is marked by both geopolitical tensions and deep economic linkages. While policymakers may have once believed that economic integration would inject stability into the overall relationship and provide a deterrent to conflict, that idealistic vision has been shaken by Russia’s brutal invasion of Ukraine. No longer can the United States and its partners assume that the PRC’s economic interest in retaining ties to the global economy will override its nationalist impulses. The once unthinkable idea of imposing severe sanctions on China has become a strategic imperative to consider, as one of a range of measures that the United States and its partners may consider if relations with the PRC deteriorate further. Yet, sanctioning China represents a challenge more complex than any other in the modern era of sanctions. The scale and interconnected nature of China’s economy means that the damage from sanctions will not be contained in China; instead, the negative effects will rebound globally through China’s deep economic ties to nearly every country around the world, including the United States. China has substantial capacity in key economic areas, such as manufacturing, that provide it with important means to retaliate against U.S. sanctions or impose its own economic costs on the United States and its partners. This report seeks to advance policy debates on how to sanction China, if geopolitical conditions warranted doing so at scale. It builds on prior Center for a New American Security (CNAS) research, including a 2023 report that outlines how the United States currently uses a variety of sanctions tools to manage the strategic relationship with the PRC.1 A key finding of the earlier work is that the United States imposes sanctions at a relatively limited scale compared to the scope of challenges that exist in the bilateral relationship, with the notable exception of an increasing range of technology-related sanctions. A large divide separates the existing level of sanctions on China and the full range of economic measures that the United States may consider. This report attempts to envision that fuller range of economic measures and consider whether the use of sanctions would meaningfully advance U.S. interests during a potential conflict. The report begins, in chapter 1, with an assessment of the main economic and political characteristics that would determine China’s vulnerability to, and resolve to withstand, sanctions pressure. The concentration of power at the very top of the PRC’s political system, along with a willingness to subordinate economic objectives to political ones, indicate that China may have a high degree of resolve to absorb the costs of sanctions. China’s continued reliance on the U.S.-dominated global financial infrastructure is a key area of vulnerability to sanctions pressure. But, China retains significant economic leverage through its manufacturing relationships, as well as through the importance of its large domestic market to foreign multinational companies. Attempting to impose sanctions that are asymmetrically more painful to China will be a fraught exercise, given the degree to which China is embedded in global supply chains. In chapter 2, the report examines sanctions actions that the United States and its partners may impose during a conflict scenario, drawing from the sanctions playbook used against Russia and projecting adaptations that would be needed in the China context. The main objective of this analysis is to identify points of asymmetric leverage in the U.S.-China economic relationship, where imposition of a sanction would be more economically damaging to China than to the United States and its partners. The sanctions actions are examined through the lens of a ends-ways-and-means framework, loosely borrowing concepts from the defense community and mapping them into the economic domain. The value in such an exercise is to impose discipline in identifying why a particular economic measure may be taken and what the intended impact would be. It can also enhance the ability to integrate economic actions with those being considered in military or other domains. The report examines possible actions under three broad categories, based on the objective of the sanctions: technology denial, embargo of commodities and materials, and macroeconomic pressure. The research includes analysis by the CNAS Energy, Economic & Security team of economic data and research interviews with a wide range of sanctions, export controls, macroeconomics, trade and finance, and China experts in the United States, Europe, and Asia. In addition to examining potential sanctions options on a sectoral basis, the report also includes a company-by-company lens to assess the potential impact of sanctioning specific Chinese companies. The report finds that the U.S. options to impose harsh sanctions on China are severely constrained. U.S. options to deny militarily relevant technology to China are modest, at best. Certain areas, such as maritime capabilities, will be difficult to target due to the nearly entirely domestic supply chains of China’s main military shipbuilders. Other areas, such as semiconductors, cannot be targeted without running the risk of disruption to critical U.S. supply chains. Overall, efforts to deny technology to China require a longer time horizon to be effective and may have less utility in an immediate run-up period to a potential conflict. Attempts to use sanctions tools to deny commodities or materials to China will require innovation and the development of new sanctions tools. Key commodities, such as energy, are inherently substitutable and globally available, including from many countries that will likely not align with the United States in a conflict with the PRC. Building on the example of the oil price cap used in the Russia context, the United States and partners will need to consider novel policy approaches that provide positive economic inducements to align with U.S. policies, in addition to using traditional sanctions tools.
Topic:
Security, Defense Policy, Sanctions, and Geopolitics
Political Geography:
China, Asia, North America, and United States of America

10. Defunding the War Against Ukraine: Economic Strategies for Countering Russian Aggression

Author:
David Cortright and Anna Romandash
Publication Date:
12-2023
Content Type:
Special Report
Institution:
Fourth Freedom Forum
Abstract:
The sanctions imposed by the United States and many of its allies on Russia since 2022 have been unprecedented. The current financial, economic, trade, and other restrictions aim to constrain Russia’s ability to continue its aggression. Imposed by most developed countries, the sanctions and export controls have the potential to diminish Russia’s war-making capacity, weakening state finances and eroding its military technological base. The measures have imposed significant costs on Russia, but to date they have not achieved their objectives due to Russia’s elaborate circumvention and preparatory strategies and the lack of compliance by many countries and companies. The success of sanctions as a means of constraining Russian aggression will depend on closing channels of evasion and tightening the enforcement of these measures. This report reviews the sanctions and export controls enacted to date and the effects they are having on Russia’s industrial economy. It also examines the principal gaps in sanctions enforcement that Russia has exploited. It identifies actions by companies and countries that are profiting from sanctions circumvention and are enabling Russia to continue its illegal war and annexation of Ukrainian territory
Topic:
Sanctions, Exports, Energy, and Russia-Ukraine War
Political Geography:
Russia, Europe, and Ukraine