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Database
HSE (2007)
TIES (2013)
TSC (2014)
Authors
Hufbauer, Gary
Schott, Jeffrey
Elliot, Kimberley
Oegg, Barbara
Morgan, T. Clifton
Bapat, Navin
Kobayashi, Yoshiharu
Biersteker, Thomas
Eckert, Sue
Tourinho, Marcos
Hudáková, Zuzana
Version
Version 3
Version 4
Version 1
Period
1914-20001
1945-2005
1991-2013
Focus
Economic sanctions (trade and financial)
Economic sanctions (including trade
disputes) and travel bans
All sanctions (individual, economic,
political, military, diplomatic, transportation)
Definition
Deliberate, government inspired withdrawal,
or threat of withdrawal, of customary trade
and financial activity that would probably
have occurred in the absence of sanctions.
Actions that one or more countries take to
limit or end their economic relations with a
target country in an effort to persuade that
country to change its policies.
Legally binding restrictive measures applied
by the UN Security Council to coerce,
constrain, and/or signal a norm to a state,
entity, or individual target
Sender
Country or international organization
(maximum 3)
Country or international organization
(maximum 5)
United Nations (UN)
Target
Country (single)2
Country (single)
Country/entity/individual (multiple)
Country cases
174
Unclear
23
Episodes (observations)
204
1412
63
Number of variables
39
67
296
Criteria for new
episode
Simultaneous
- Multiple targets (same sender)
- Multiple equally important objectives
- Multiple targets (same sender)
- Senders not coordinating or not having
same demands (same target)
- Mutual sanctions (each own case)
N/A
Sequential
- Changed objective (phases)
- Significant changes on the ground (phases)
- Changed objective (phases)
- New activity after 1 year of inaction (threat
or imposition)
Significant adjustments to sanctions regime
- Type of sanctions
- Target of sanctions
- Purpose of sanctions
- Change in enforcement
Significant changes on the ground
- Affecting the internal dynamics of the
sanctions regime3
Threat only cases
Yes (6%)
Yes (40%)
No (prior threat identified only for cases
where sanctions were authorized)
Observation
Start
Threat or imposition (indistinguishable)
- First recorded sanctions threat from official
sources; or
- First recorded sanctions event (regardless
of whether threat made)
Threat or imposition (distinguishable)
- Sender makes a threat (non/specific) about
the possibility of sanctions; or
- Sender imposes sanctions without previous
threat4
Imposition
- UN Security Council authorizes the
imposition of sanctions in a resolution
evoking Chapter VII of the UN Charter
(using legally binding language)
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1 Includes also one case from 2002-2006 (Democratic People’s Republic of Korea).
2 With four exceptions: USSR, COMECON; Cambodia, Khmer Rouge; Angola, UNITA; Yugoslavia, Serbia. !
3 Applied in only four instances.
4 Or makes a threat or imposes sanctions as a reaction to a violation of a general prohibition.
End
- Sender or target country changes its polices
in a significant way
- Campaign withers away
- Target acquiesces to sender demands
- Target state changes
- Objective changes
- Sender does not carry out threat (1 year)
- Sender removes sanction
- Target changes
- Objective changes
- Sanctions type significantly changes
- Sender officially terminates sanction
Duration
Approximate (whole years)5
Exact (day/month/year)
Exact (day/month/year)
Objectives
Objectives (exclusive)
- Modest policy change (1)
- Regime change and democratization (2)
- Disruption of military adventures (3)
- Military impairment (4)
- Other major policy changes (5)
Specific goal identified separately
Issues (multiple)
- Contain political influence (1)
- Contain military behavior (2)
- Destabilize regime (3)
- Release citizens, property, or material (4)
- Solve territorial dispute (5)
- Deny strategic material (6)
- Retaliate for alliance/alignment choice (7)
- Improve human rights (8)
- End weapons/material proliferation (9)
- Terminate support of non-state actors (10)
- Deter/punish drug-trafficking practices (11)
- Improve environmental policies (12)
- Trade practices (13)
- Implement economic reform (14)
- Other (15)
Objectives (primary and multiple)
- Nuclear non-proliferation (1)
- Counter-terrorism (2)
- Cease hostilities (3, armed conflict)
- Negotiate peace agreement (3, armed
conflict)
- Peace enforcement (3, armed conflict)
- Peace building (3, armed conflict)
- Democracy support (4)
- Good governance (5)
- Human rights (6)
- Protect population under R2P (7)
- Support humanitarian efforts (8)
- Support judicial process (9)
Types of sanctions
Trade sanctions
- Interruption of exports (from sender)
- Interruption of imports (to sender)
Financial sanctions
- Interruption of commercial finance, aid,
and other official finance (including asset
freeze)
Economic sanctions
- Total economic embargo (by sender)
- Partial economic embargo (import and
export)
- Import restrictions
- Export restrictions
- Blockade (by all states)
- Asset freeze
- Termination of foreign aid
- Suspension of economic agreement
- Other
Individual sanctions
- Travel ban
Diplomatic sanctions6
- Expulsion of ambassador
- Recall of ambassador
- Temporary closing of embassies
Individual sanctions
- Travel ban
- Individual/entity asset freeze
- Asset transfer
Diplomatic sanctions
- Limiting travel of diplomatic or
government personnel
- Limiting number of diplomatic personnel
- Revision of visa policy
- Limiting diplomatic representation
Sectoral sanctions
- Aviation ban
- Arms imports embargo (to target)
- Arms exports embargo (from target)
- Proliferation-sensitive material ban
- Oil services equipment imports ban
- Shipping and transportation
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5 Taking only the year into consideration.
6 If threatened or imposed in conjuncture but not independently from economic sanctions and/or travel ban.!
- Ending diplomatic contact (permanent)
Commodity sanctions
- Luxury goods imports ban (to target)
- Petroleum imports ban (to target)
- Diamond exports ban (from target)
- Timber exports ban (from target)
- Charcoal exports ban (from target)
- Other
Financial sanctions
- Central bank asset freeze
- Investment ban
- Financial services
- Sovereign wealth funds
- Diaspora tax
Specific target
N/A
Threatened targeted interest (multiple)
- General (1)
- Regime leadership (2)
- Business interest (3)
- Political interest (4)
- Military (5)
- Other (6)
Target for each purpose (primary & multiple)
- Entire government (1)
- Government leadership (2)
- Rebel faction (3)
- All parties to the conflict (4)
- Terrorist group (5)
- Leadership family members (6)
- Facilitators of proscribed activity (7)
- Individual targets (8)
- Key regime supporters (9)
- Domestic constituencies in target (10)
- Regional constituencies (11)
- Global constituencies (12)
Effectiveness
Perspective
Sender
Sender and Target
Sender
Description
Combination of the extent to which the
policy result sought by the sender country
was achieved and the contribution to success
made by sanctions as opposed to other
factors
Relative degree to which the sender and
target accomplished their respective policy
objectives
Combination of the extent to which the
policy result sought by the sender country
was achieved and the contribution to success
made by sanctions as opposed to other
factors (separate evaluation for each purpose
– coerce, constrain, and signal)
Components
Policy result
- Failed outcome (1)
- Unclear but possibly positive outcome (2)
- Positive outcome – sender's goals were
party realized (3)
- Successful outcome – sender’s goals were
largely or entirely realized (4)
Final outcome (threat or imposition)
- Partial acquiescence (T or I)
- Complete acquiescence (T or I)
- Capitulation by the sender (T or I)
- Stalemate (T or I)
- Negotiated settlement (T or I)
Policy outcome
- Specific benchmarks for each of the three
sanctions purposes - ranging from no or
negligible change in target’s behavior / no
constraint / weak norm articulation and no
target stigmatization (1) to meeting all of the
principal objectives / constraint or significant
increases in target’s costs / clear norm
articulation and full target stigmatization (5)
Sanctions contribution
- Negative (1)
- Little or no {minor} (2)
- Substantial (3)
- Decisive (4)
Settlement nature for sender
- Degree to which sender accomplished its
policy objectives (0 – 10)
Settlement nature for target
- Degree to which target accomplished its
policy objectives (0 – 10)
Sanctions contribution
- Negative (0)
- None (1)
- Minor (2)
- Modest (3)
- Major (4)
- Significant (5)
Success
criteria
Positive policy outcome (sender’s goals
party realized) and at least substantial
sanctions contribution
Considered successful in either threat and
imposition stage if the value for sender
greater than variable for target
Policy outcome unambiguously in line with
the sanctions objectives and at least modest
sanctions contribution.
Evaluation
Policy result x sanctions contribution
Relative scores
(individual values not reliable)
Policy outcome and sanctions contribution
considered together (for each purpose)
Success score
9 or higher (maximum 16)
Settlement nature for sender > Settlement
nature for target
Policy outcome > 3 and sanctions
contribution > 2
Alternative
success score
Not specified
Final outcome (customized thresholds
possible)7
Mixed effectiveness (policy outcome = 3 and
sanctions contribution > 2)
Ongoing cases
Coded
Missing
Coded
Other variables
Political
- Target identifiers (regional group, IMF
code, regime type, political stability)
- Prior relations (quality of relationship,
shared institutional membership)
- Companion policies (covert action, quasi-
military, regular military action)
- International cooperation with sender in
sanctions implementation (extent,
international organization involvement)
- International assistance to target in
sanctions evasion
- Prior relations (target’s membership in
sender institution)
- Threat (type and specificity of offending
behavior and proposed measures, level of
sender commitment to sanction imposition)
- Sender identity (type of individual/
institution)
- Background (UN responsiveness, P5
members affected or involved, other actors
involved, presence of autonomous sanctions
by other actors)
- Details of sanctions imposition (unanimity,
identity of countries leading or objecting to
sanctions, monitoring infrastructure)
- Other policy instruments (threat of force,
force, peacekeeping, disarmament, covert
action, legal action, diplomatic pressure)
- Impact assessment and evidence of
sanctions implementation, enforcement,
coping, and evasion
- Unintended consequences (both positive and
negative)
Economic
- Costs for target (total and per capita USD,
percentage of GNP)
- Costs for sender (net gain/little effect/
modest welfare lost/major loss)
- Target/sender economic indicators
(import/export trade linkage, GNP ratio)
- Target economic indicators (health and
stability, GDP growth, inflation)
- Positive inducements for the target
(economic payments/aid, trade concessions,
removal of previous sanctions, military aid,
political concessions) and their monetary
value
- Actual and anticipated costs for target and
sender (total USD and assessment of their
scope - minor/major/severe)
- Evidence of sanctions enforcement (assets
frozen - total USD, number of accounts)
- Direct and indirect impacts on target
(include examples, general trends, scope in
USD, and affected economic indicators)
- Unintended consequences (corruption/
criminality, state role in the economy,
significant burden on implementing states,
widespread harmful economic consequences)
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7 Users encouraged to create their own success scores.