Sanctions list

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A sanctions list is an official directory in which persons, groups, organizations or economic goods (goods) are listed against or for which economic and / or legal restrictions have been imposed. While the personal / organization- related sanction lists serve the global fight against terrorism and support embargoes , the goods-related sanction lists are issued for political and / or economic reasons (e.g. import duties on certain products listed in a sanction list).

Person- or organization-related sanction lists

In response to the terrorist attacks of September 11, 2001 , the United Nations Security Council adopted resolutions aimed at combating terrorism. On the basis of these resolutions, many countries / communities of states have passed laws and ordinances which prohibit all business dealings with persons, associations, organizations or companies that are suspected of having been in contact with Osama bin Laden , the Al-Qaida network or the Taliban to stand. In the European Community , legally binding ordinances have been issued on the basis of the two resolutions 1373 (2001) and 1390 (2002) of the United Nations Security Council , which are against Osama bin Laden, Al-Qaida and the Taliban on the one hand and against others persons and organizations suspected of terrorism. judge.

With the help of the sanction lists, the economic basis of international terrorism is to be removed by preventing any financial transactions and the use of economic resources. Therefore, trading or other business relationships with persons, groups or organizations listed on sanctions lists are prohibited. Once such a sanctions list has been announced / updated, its content is legally valid.

Person- / organization-related sanction lists are therefore an important part of export controls in commercial enterprises in order to be able to implement the economic isolation of the persons, groups and organizations named in the sanction lists and to protect the commercial enterprises themselves from criminal consequences (see e.g. in Germany § 34 para. 4 and 7 of the Foreign Trade Act (AWG)). The question of the extent to which concerns under data protection law preclude an (electronic) check of employees, customers or suppliers on the basis of the sanction lists is legally difficult to answer. In an article published in 2010, the author came to the conclusion that this review is permissible under data protection law. For European companies, however, processing remains limited to the EU terrorist lists; screening with US terror lists is not permitted, according to another author.

In contrast to embargoes , which are always directed against a country, the person / organization-related sanction lists are country-independent.

Important personal / organization-related sanction lists

The basis of most national personal or organization-related sanctions lists is the UN sanctions list. The United Nations Security Council can, based on the UN Charter, take economic sanctions against lawbreakers and peacemakers. The member states are obliged under international law to implement such measures. On the part of the European Union, the sanctions decisions of the UN are included in the European sanctions list and published separately. In addition, individual countries create additional personal / organization-related sanctions lists or add further entries to the list of the UN.

Overview of selected sanctions lists
Editor, country Sanctions list Remarks Web link
United Nations Security Council (The Al-Qaida and Taliban Sanctions Committee) Consolidated list Based on the first UN resolution 1267/1999 of October 15, 1999 regarding Al-Qaida and the Taliban; is continuously updated The Al-Qaida and Taliban Sanctions Committee ( Memento of March 14, 2007 in the Internet Archive )
European Union Consolidated Lists The basis is the ordinances in accordance with Art. 215 TFEU and decisions made within the framework of the common foreign and security policy; is continuously updated [1] EU website with several lists
European Union Regulation (EC) No. 2580/2001 Direct consequence of the attacks of September 11, 2001 in the USA; Basis: UN resolution 1373/2001; Objective: Combat all forms of financing economic activities of international terrorism [2] at: bundesbank.de
European Union Regulation (EC) No. 881/2002 Basis: UN resolutions 1267/1999 and 1333/2000; targets persons and organizations that are connected to Osama bin Laden, the Al-Qaida network or the Taliban (freezing of accounts, arms embargo, compliance screening ) [3]
European Union Regulation (EU) No. 208/2014 About restrictive measures against certain persons, organizations and institutions in view of the situation in Ukraine Regulation (EU) No. 208/2014 (PDF)
United Kingdom Treasury Department (HM Treasury) Consolidated list of financial sanctions targets Sanctions are based on decisions of the United Nations (UN), the European Union and UK legislation; in addition, an investment ban list has been issued since 2008

[4]

State Secretariat for Economic Affairs (SECO), Switzerland Measures against ... Autonomous participation of Switzerland since 1990 in non-military sanctions of the United Nations Organization (UNO); in the form of so-called embargo measures (mainly economic measures); Embargo measures are issued in the form of Federal Council ordinances [5]
United States Bureau of Industry and Security (BIS) US Denied Persons List (US-DPL): List of names of persons whose export privileges have been withdrawn by the BIS for a limited or unlimited period. Neither US nor foreign (German) companies may supply or purchase goods of US origin to these persons [6]
United States Department of Commerce, Bureau of Industry & Security US Entity List List of names of individuals and companies that the US authorities believe pose a significant risk of proliferation of weapons of mass destruction or delivery technology. The export / re-export of many goods by US and foreign companies these persons / companies requires an export license from the BIS [7]
United States Department of the Treasury Specially Designated Nationals and Blocked Persons (SDN List) List of people, groups and companies that are affected by various economic sanctions by the US Treasury Department (including terrorists, drug dealers, but also sanctioned banks, insurance companies, freight forwarders and freight companies from all over the world) [8th]
World Bank (The World Bank) World Bank Listing of Ineligible Firms (Debarred Firms) List of people and companies identified as fraudulent or corrupt. The listed persons and companies are denied the opportunity to get new contracts with financing from the World Bank for an individually specified period of time. The aim of this list is to combat fraud and corruption [9]

Goods-related sanction lists

In addition to people, groups, and organizations, certain economic goods (goods) are also included in various official lists. The reason for this can be the export restriction ( export control ), as is the case with dual-use goods , which can be used for both civil and military purposes. Lists of assets that are subject to export controls (e.g. Annex I of the EC Dual Use Regulation) are not generally referred to as sanction lists. Rather, “sanctions list” is used for lists of goods that are subject to punitive tariffs .

literature

Web links

Individual evidence

  1. Council Regulation (EC) No. 881/2002 of May 27, 2002 on the application of certain specific restrictive measures against certain persons and organizations associated with Osama bin Laden, the Al Qaeda network and the Taliban, and repealing Council Regulation (EC) No. 467/2001 banning the export of certain goods and services to Afghanistan, extending the flight ban and the freezing of funds and other financial resources concerning the Taliban of Afghanistan.
  2. Regulation (EC) No. 2580/2001 of the Council of December 27, 2001 on specific restrictive measures aimed at certain persons and organizations in order to combat terrorism.
  3. ^ Klaus Pottmeyer: Terrorism lists and data protection . In: Foreign trade practice. 16 (2), 2010, ISSN  0947-3017 , pp. 43-46.
  4. Philipp Byers: When employees land on terror lists . In the world. February 14, 2015.
  5. ^ Rouven Schellenberger: Punitive tariffs on US goods: Brussels presents sanctions list. In: Berliner Zeitung. September 12, 2002.