Democratic People’s Republic of Korea - Base de données sur les embargos sur les armes

Status of the embargo	Ongoing
Entity	State
Organisation(s) imposing embargo(es)	UN & EU
Restriction(s)	Conventional weapons Nuclear Dual use
Exceptions	Yes, no prior notification or approval Yes, prior notification Yes, prior approval

The Democratic People’s Republic of Korea (DPRK) is currently under UN and EU arms embargoes .

The Democratic People’s Republic of Korea (DPRK, hereafter also referred to as North Korea) has been under UN arms embargo since October 1996 (Resolution 1718 (2006)). These sanctions have been extended on a yearly basis ever since and progressively tightened and expanded. Also created in 2006 was the Security Council Committee, hereafter referred to as the “Committee”, which regulates the situation and updates the lists of goods and persons covered by the embargoes (Resolution 1718 (2006), para. 12).

Conventional weapons

Prohibitions

The current sanctions regime, as detailed in Resolution 1718 (2006), supplemented by Resolutions 1874 (2009), 2094 (2013), 2270 (2016), 2321 (2016), 2371 (2017) and 2375 (2017), prohibits the sale, supply and transfer by member states of :

“Any battle tanks, armoured combat vehicles, large calibre artillery systems, combat aircraft, attack helicopters, warships, missiles or missile systems as defined for the purpose of the United Nations Register on Conventional Arms, or related materiel including spare parts, or items as determined by the Security Council or the Committee established by paragraph 12 » to the DPRK (Resolution 1718 (2006), art. 8, a, i) ;
« all arms and related materiel, including small arms and light weapons and their related materiel, as well as to financial transactions, technical training, advice, services or assistance related to the provision, manufacture, maintenance or use of such arms and related materiel » to the DPRK (Resolution 2270 (2016), art. 6)

Exceptions

Requiring prior approval from the UN Sanctions Committee on DPRK :

“the direct or indirect supply, sale or transfer to the DPRK, through their territories or by their nationals, or using their flag vessels or aircraft, and whether or not originating in their territories, of new helicopters and vessels, except as approved in advance by the Committee on a case-by-case basis » (Resolution 2321 (2016), art.30).

2. Nuclear

Prohibitions

“all items, materials, equipment, goods and technology (…) which could contribute to DPRK’s nuclear-related, ballistic missile-related or other weapons of mass destruction related programmes » (Resolution 1718 (2006), art. 8, a, ii). To which can be added « additional weapons of mass destruction-related dual-use items, materials, equipment, goods, and technology » (Resolution 2375 (2017), art. 4). The Security Council has drawn up a list of the products concerned and instructed the Sanctions Committee to update it every twelve months (Résolution 2375 (2017), art. 4).

The Security Council calls upon all member States to prevent the direct or indirect supply, sale or transfer of “any item if the State determines that such item could contribute to the DPRK’s nuclear or ballistic missile programmes » (Resolution 2094 (2013), art. 22 et Resolution 2270 (2016), art. 27).

3. Dual use

Prohibitions

“the items listed in a conventional arms dual-use list [to be adopted and updated by the Committee] likely to serve in the manufacture or use of conventional arms” (Resolution 2321 (2016), art. 7). This list must be updated by the Committee every twelve months (Resolution 2371 (2017), art. 5).

4. Transversal Prohibitions

The current sanctions regime also provides for common prohibitions for the three categories of goods mentioned above. The sanctions regime :

Requires member States not to supply, sell or transfer, directly or indirectly, to the DPRK or to import from the DPRK any item covered by the embargo “if the State determines that such item could directly contribute to the development of the DPRK’s operational capabilities of its armed forces, or to exports that support or enhance the operational capabilities of armed forces of another Member State outside the DPRK » (Resolution 2270 (2016), art. 8).
Requires member States to “prevent any transfers to the DPRK by their nationals or from their territories, or from the DPRK by its nationals or from its territory, of technical training, advice, services or assistance related to the provision, manufacture, maintenance or use of the [abovementioned] items” (Resolution 1718 (2006), art. 8, c)). The UN Security Council stresses that this also covers “brokering or other intermediary services” for the provision, maintenance, use, supply, sale or transfer of prohibited items to and from other States (Resolution 2094 (2013), art. 7).
asked to States to inspect all cargo from and to DPRK, whether on their territory or on the high seas, with the consent of the flag State, “if the State concerned has information that provides reasonable grounds to believe the cargo contains items the supply, sale, transfer, or export of which is prohibited” (Resolution 1874 (2009), art. 11, 12 and 13).
prohibits the DPRK from exporting any item covered by the embargo and commands States to prevent their nationals from acquiring these items (Resolution 1718 (2009), art. 8, b et Resolution 2321 (2016), art. 7).

Transversal exceptions

The embargo provides for several common exceptions for the three categories of goods mentioned above.

Requiring prior notification to the UN Sanctions Committee on DPRK :

The supply, sale or transfer of any item covered in the sanctions, “if the State determines that such activity is exclusively for humanitarian purposes or exclusively for livelihood purposes and that it would not be contrary to the objectives of Resolutions 1718 (2006), 1874 (2009), 2087 (2013) and 2094 (2013) and 2270 (2016)” (Resolution 2270 (2016) art. 8, a)) or if « the Committee has determined on a case-by-case basis that a particular supply, sale or transfer would not be contrary to the objectives of resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or this resolution » (Resolution 2270 (2016) art. 8, b))
The acquisition by UN Member States of any item covered in the sanctions from DPRK, if the State determines that such activity is exclusively for humanitarian purposes or exclusively for livelihood purposes and that it would not be contrary to the objectives of Resolutions 1718 (2006), 1874 (2009), 2087 (2013) and 2094 (2013) and 2270 (2016) (Resolution 2270 (2016) para. 8 a) and b).

Others

States are requested to undertake other restrictive measures, such as assets freeze, travel restrictions or expulsions, against individuals and entities designated by the UN Sanctions Committee as being engaged in or providing support for DPRK’s nuclear-related, other weapons of mass destruction-related and ballistic missile-related programmes (Resolution 1718, art. 8 d and e), whose listing is available on the Committee’s website. 

States must also prevent specialized teaching or training of DPRK nationals within their territories or by their nationals of disciplines which could contribute to the DPRK’s sensitive nuclear activities (advanced physics, advanced computer simulation, etc.) (Resolution 2270 (2016), art. 17) .

The arms embargo is indefinite. The UN Security Council remains seized of the matter, keeping the DPRK’s actions under continuous review in order to modify, suspend or lift the measures (Resolution 2375 (2017), art 32 et 33). The Committee’s mandate is renewed annually, and currently runs until April 30, 2024 (Resolution 2680 (2023), art. 1).

The DPRK is also subject to an EU arms embargo.

The Democratic People’s Republic of Korea (DPRK, hereafter also referred to as North Korea) has been under EU arms embargo since November 2006 (Common Position 2006/795/CFSP ). These sanctions have been regularly expanded to include new items.

Conventional weapons

Prohibitions

The sanctions regime, as detailed in Council Decision 2016/849/CFSP  and in updated versions of Regulation 2017/1509, prohibits :

“The direct or indirect supply, sale, transfer or export, to the DPRK, […] of arms and related materiel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment and spare parts for the aforementioned “ (Decision 2016/849/CFSP, art.1, a)).

Exceptions

Requiring no prior approval from or notification to the UN Sanctions Committee on DPRK:

The direct or indirect supply, sale, transfer or export of “non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection and are intended solely for protective use of personnel of the Union and its Member States in the DPRK” (Decision 2016/849/CFSP,art. 1, para. 1 a)) as well as technical assistance for these vehicles (Regulation 2017/1509, art. 7, para. 2).

2. Nuclear

Prohibitions

The sanctions regime, as detailed in Council Decision 2016/849/CFSP  and in updated versions of Regulation 2017/1509, prohibits :

The direct or indirect supply, sale, transfer or export of “all items, materials, equipment, goods and technology, as determined by the UN Security Council or the Committee established pursuant to paragraph 12 of UNSCR 1718 (2006) which could contribute to the DPRK’s nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes” (Decision 2016/849/CFSP, art.1, para.1, b)) including «all dual-use goods and technologies listed in Annex I of Council Regulation 428/2009 » that may also be used for these purposes (Decision 2016/849/CFSP, art.1, para.1, c)). A list of these articles is set out in Parts II, IV and VIII of Annex II of Regulation 2017/1509.
The direct or indirect supply, sale, transfer or export of “ any other item that could contribute to the DPRK’s nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes, to activities prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016) or by this Decision” (Decision 2016/849/CFSP, art.1, para.1, f)). A list of these items is set out in Parts IV, V and VI of Annex II of Regulation 2017/1509.
The direct or indirect supply, sale, transfer or export of “certain key components for the ballistic-missile sector, such as certain types of aluminium used in ballistic-missile-related systems” (Decision 2016/849/CFSP, art.1, para.1, e)). A list of these components is set out in Part III of Annex II of Regulation 2017/1509.

3. Dual use

Prohibitions

The sanctions regime, as detailed in Council Decision 2016/849/CFSP  and in updated versions of Regulation 2017/1509, prohibits :

The direct or indirect supply, sale, transfer or export of “any further items, materials and equipment relating to dual-use goods and technology” (Decision 2016/849/CFSP, art.1, para.1, d)). Part I of Annex II of Regulation 2017/1509 lists these articles, materials and equipment (defined in Annex I of Regulation 428/2009).
The direct or indirect supply, sale, transfer or export of “any other item listed in the conventional arms dual-use list adopted by the Sanctions Committee pursuant to paragraph 7 of UNSCR 2321 (2016) and paragraph 5 of UNSCR 2375 (2017).” (Decision 2016/849/CFSP, art.1, para.1, i)). Part IX of Annex II of Regulation 2017/1509 lists these articles, materials and equipment.

4. Transversal Prohibitions

The sanctions regime, as detailed in Council Decision 2016/849/CFSP  and in updated versions of Regulation 2017/1509, prohibits :

To “provide technical assistance services, brokerage services, financing” or “provide financing or financial assistance” in connection with the aforementioned items and technologies “or related to the supply, manufacture, maintenance or use thereof” (Decision 2016/849/CFSP, art.1, para.2, a) and b)).
The direct or indirect supply, sale, transfer or export of “any other item, except food or medicine, if a Member State determines that it could contribute directly to the development of the operational capabilities of the DPRK’s armed forces or to exports that support or enhance the operational capabilities of armed forces of another State outside the DPRK” (Decision 2016/849/CFSP, art.1, para.2, g and  Regulation 2017/1509, art.5, para.1, a) and b)).

Transversal exceptions

The embargo provides for several common exceptions for the three categories of goods mentioned above.

Requiring prior notification to the UN Sanctions Committee on DPRK:

The direct or indirect supply, sale, transfer or export of an item exclusively for either humanitarian or livelihood purposes and which is not related to any activity prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or 2321 (2016). Any Member State wishing to conduct such action must inform the Sanctions Committee of measures taken to prevent the diversion of the item for any prohibited purpose, including enhancing the operational capabilities of the DPRK’s armed forces (Decision 2016/849/CFSP, art. 2, para. 1 a) and b), and  Regulation 2017/1509, art. 6, para. 1 c) and para. 2).
The direct or indirect supply, sale, transfer or export of any item the competent authority has determined would not directly contribute to the development of the operational capabilities of the DPRK’s armed forces (Regulation 2017/1509, art. 6, para. 1 a), and para. 2).

Requiring prior approval from the UN Sanctions Committee on DPRK:

The direct or indirect supply, sale, transfer or export of goods and technologies listed in Annex II of updated Regulation 2017/1509 , as well as the provision of technical assistance, brokering services or financial assistance related to the goods and technologies listed in the EU Common List of Military Equipment or in the Annex II of Regulation 2017/1509 (Regulation 2017/1509, art. 8, para. 2) .
The supply, sale, transfer or export of any item, other than food, medicines and products with humanitarian purposes, provided that the Sanctions Committee has determined on a case-by-case basis that it would not be contrary to the objectives of UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016) (Decision 2016/849/CFSP, art. 2, point b).
The supply, sale, export or transfer of any item the Sanctions Committee has determined would not be contrary to the objectives of the arms embargo (Regulation 2017/1509, art. 6, para. 1 b) and para. 2).

Others

In addition, the sanctions regime requires Member States to prevent their nationals from procuring goods and technologies targeted by the aforementioned arms embargo from DPRK, and their aicraft and vessels from being used to such purposes. Likewise, procuring technical or financial assistance as well as brokering services from DPRK is prohibited (Decision 2016/849/CFSP, art. 1, para. 3 ).

Customs authorities shall receive detailed information from their relevant services about legal exemption documentation when prohibited items are found in a vessels’ cargo. These authorities are allowed to inspect all cargo arriving to and leaving from the EU territory if it contains such prohibited items. Member States shall deny entry into their ports of any vessel that has refused to allow an inspection after such an inspection has been authorised by the vessel’s flag State, or if any DPRK-flagged vessel has refused to be inspected (Decision 2016/849/CFSP, art. 16 ). Likewise, providing bunkering or ship-supply services to DPRK vessels shall be prohibited if there exists reasonable grounds to believe that these vessels carry prohibited items (Decision 2016/849/CFSP, art. 19).

The sanctions regime also provides for targeted measures, whether financial or travel restrictions against person, entities or bodies engaged in or providing support for, including financially, the DPRK’s nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes, or engaged in the supply to or from the DPRK of arms and related materiel of all types (Regulation 2017/1509, art. 34, para 1). These persons and entities are listed in Annexes XIII, XV, XVI and XVII of Regulation 2017/1509, which shall be reviewed every 12 months at least (Regulation 2017/1509, art. 34, para 7) and reflect any changes passed by the UN Sanctions Committee on North Korea. Please refer to the EU Official Journal to access the most up-to-date version of these Annexes.

The EU arms embargo is indefinite.

The DPRK is also subject to UN arms embargo .

Restrictions diagram:

Conventional weapons

Dual use

Nuclear