Draft Annex – Frequently used sanctions terms
This is a preliminary glossary of sanctions terms. Member states are welcome to comment and propose additional terms, comment and amend definitions.
| Access control | In regards to an arms and ammunition storage management system the term refers to a system which enables an authority to control access to areas and resources in a given physical facility. |
| Accounts | References to “accounts” should be read as including other similar business relationships between financial institutions and their customers. Source: Glossary of the FATF Recommendations |
| Abuse of human rights | Acts that contravene human rights. |
| Agent | Any natural or legal person providing Money or Value Transfer Service(s) (MVTS) on behalf of an MVTS provider, whether by contract with or under the direction of the MVTS provider. Source: Glossary of the FATF Recommendations |
| Aircraft | Any aviation vehicle that is either regulated by ICAO standards and objectives for the global civil aviation sector or by national rules for the operation of military aircraft. |
| Ammunition and explosives | (also Munition, Ordinance) A complete device, (e.g. missile, shell, mine, demolition store etc.) charged with explosives, propellants, pyrotechnics, initiating composition or nuclear, biological or chemical material for use in connection with offence, or defence, or training, or non-operational purposes, including those parts of weapons systems containing explosives. (c.f. munition). - Source: International Ammunition Technical Guideline |
| Ammunition container | An approved box, cylinder, tin plate liner or receptacle that is designed to contain explosive articles or explosives substances. It normally forms part of an ammunition container assembly. - Source: International Ammunition Technical Guideline |
| Ammunition depot or store | An installation or authorised building devoted primarily to the receipt, storage, issue and maintenance of ammunition. - Source: International Ammunition Technical Guideline |
| Anti-Money Laundering | Often also used in connection with Counter-Terrorism Financing or measures against Non-Proliferation Financing and other financial activities in support of sanctions violations. |
| Appropriate authorities | Competent authorities, including accrediting institutions, and self-regulatory organisations. Source: Glossary of the FATF Recommendations |
| Armed conflict | According to the ICRC, this general expression covers confrontations between two or more States (international armed conflict); a State and a body other than a State (war of national liberation); a State and a dissident faction (non-international armed conflict); and two or more organized armed groups within a State (non-international armed conflict). |
| Arms and related material | Often also arms and related matériel, typically classified in 7 categories: battle tanks, armoured combat vehicles, large-calibre systems, combat aircraft/vehilces, helicopters, warships, missiles, plus as a special category small arms and light weapons. |
| Arms embargo | An embargo (trading ban) on arms. May also apply to dual-use technology. A UN arms embargo can typically be applied to all types of conventional arms or WMD, as well as related dual-use items and catch-all provisions. |
| Artillery ammunition | Medium and large-caliber ammunition for weapons, such as mortars, howitzers, missile and rocket launchers, that are primarily designed to fire indirectly at targets. (c.f. ammunition). - Source: International Ammunition Technical Guideline |
| Asset | Any assets, including, but not limited to, financial assets, economic resources (including oil and other natural resources), property of every kind, whether tangible or intangible, movable or immovable, however acquired, and legal documents or instruments in any form, including electronic or digital, evidencing title to, or interest in, such funds or other assets, including, but not limited to, bank credits, travellers cheques, bank cheques, money orders, shares, securities, bonds, drafts, or letters of credit, and any interest, dividends or other income on or value accruing from or generated by such funds or other assets, and any other assets which potentially may be used to obtain funds, goods or services. Source: Glossary of the FATF Recommendations See also Property, Virtual Asset |
| Asset freeze | In the implementation of targeted financial sanctions, the term freeze means to prohibit the transfer, conversion, disposition or movement of any funds or other assets that are owned or controlled by designated persons or entities on the basis of, and for the duration of the validity of, an action initiated by the United Nations Security Council or in accordance with applicable Security Council resolutions by a competent authority or a court. The frozen property, equipment, instrumentalities, funds or other assets remain the property of the natural or legal person(s) that held an interest in them at the time of the freezing and may continue to be administered by third parties, or through other arrangements established by such natural or legal person(s) prior to the initiation of an action under a freezing mechanism, or in accordance with other national provisions. As part of the implementation of a freeze, countries may decide to take control of the property, equipment, instrumentalities, or funds or other assets as a means to protect against flight. Important exemptions may apply on a case-by-case basis. |
| Associated with … | In the context of sanctions violators, the term most often applies to individuals, companies, or entities that are formally or informally connected with a principal actor responsible for sanctions violations. To determine the responsibility or culpability of “associates”, their underlying activity should be understood. If an activity-based analysis is not conducted based on facts, inevitably the associates are at risk to be subject to sanctions on the principle of “guilt by association”. |
| Australia Group (AG) | An informal forum of countries which, through the harmonisation of export controls, seeks to ensure that exports do not contribute to the development of chemical or biological weapons, and fulfill their obligations under the Chemical Weapons Convention and the Biological and Toxin Weapons Convention to the fullest extent possible. The Australia Group Secretariat is based in Barton, Australia |
| Ballistic missile | Rocket-propelled self-guided strategic-weapons system that follows a ballistic trajectory to deliver a payload from its launch site to a predetermined target. Ballistic missiles can carry conventional high explosives as well as chemical, biological, or nuclear munitions. They can be launched from aircraft, ships, and submarines, in addition to land-based silos and mobile platforms. There are no binding multilateral conventions prohibiting ballistic missiles, except when they are developed as delivery systems for prohibited WMD. Nevertheless, Hague Code of Conduct against Ballistic Missile Proliferation and the Missile Technology Control Regime (MTCR) provide important guidance. |
| Batch | A discrete quantity of ammunition which is assembled from two or more lotted components (one of which will be the Primary Governing Component,) is as homogeneous as possible and, under similar conditions, may be expected to give uniform performance. - Source: International Ammunition Technical Guideline |
| Batch number | A number allocated to a batch which uniquely identifies that batch. - Source: International Ammunition Technical Guideline |
| Batch key identity | Used to identify a particular lot or batch of ammunition. - Source: International Ammunition Technical Guideline |
| Bearer Negotiable Instruments (BNI) | Include monetary instruments in bearer form such as: traveller’s cheques; negotiable instruments (including cheques, promissory notes and money orders) that are either in bearer form, endorsed without restriction, made out to a fictitious payee, or otherwise in such form that title thereto passes upon delivery; incomplete instruments (including cheques, promissory notes and money orders) signed, but with the payee’s name omitted. Source: Glossary of the FATF Recommendations |
| Bearer shares | Refers to negotiable instruments that accord ownership in a legal person to the person who possesses the bearer share certificate. Source: Glossary of the FATF Recommendations |
| Below threshold | Dual-use equipment that requires minimal modification in order to serve within a military-relevant context. |
| Beneficiary financial institution | The financial institution which receives the wire transfer from the ordering financial institution directly or through an intermediary financial institution and makes the funds available to the beneficiary. Source: Glossary of the FATF Recommendations |
| Beneficial owner | The natural person(s) who ultimately owns or controls (ownership/control is exercised through a chain of ownership or by means of control other than direct control) a customer and/or the natural person on whose behalf a transaction is being conducted. It also includes those persons who exercise ultimate effective control. Source: Glossary of the FATF Recommendations |
| Beneficiary | The meaning of the term beneficiary in the FATF Recommendations depends on the context:
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| Biological weapon | A weapon that delivers toxins or microorganisms, such as viruses and bacteria, with the intent of deliberately causing disease and inflicting destruction among people, animals, or agriculture. |
| Biological Weapons Convention (BWC) | The first multilateral disarmament treaty banning the development, production and stockpiling of an entire category of weapons of mass destruction, was opened for signature on 10 April 1972. The BWC entered into force on 26 March 1975. |
| Bi-propellant or bi-fuel | A liquid propellant in the form of two substances, a fuel and an oxidizer; that are stored separately and brought together when their mutual chemical reaction is required to produce thrust. - Source: International Ammunition Technical Guideline |
| Blank cartridge | Used to simulate a live round. Primarily used for training, containing propellant and a wad but no bullet or other projectile. Generally used for training purposes. Not designed for offensive military use. - Source: International Ammunition Technical Guideline |
| Bomb | Explosive munition, not subject to centrifugal forces and with a nearly vertical angle of descent, usually delivered from an aircraft or mortar. - Source: International Ammunition Technical Guideline |
| Booster | Explosive device used as a donor charge to amplify the energy to the acceptor charge. - Source: International Ammunition Technical Guideline |
| Bulk explosives | Service charges of explosives which are generally removed from their containers before use, such as Charges Demolition. - Source: International Ammunition Technical Guideline Explosive which is not cartridged and can be loaded by pouring (under gravity), pumping or other pneumatic means. - Source: International Ammunition Technical Guideline |
| Cargo | In a sanctions context, the handling of cargo is regulated by a UN sanctions resolution that can impose restrictions on certain types of cargo, typically arms, WMD, their dual use items, specific commodities, and luxury goods in the case of the DPRK sanctions. In international law restrictions apply in regards to dangerous goods for example being transported by civil aviation carriers, trucks of ships. The World Customs Organization (WCO) has developed the SAFE Framework of Standards to Secure and Facilitate Global Trade that includes electronic Advance Cargo Information (ACI) system to identify high-risk cargo prior to loading and/or arrival by WCO Members. |
| Cargo declaration | The General Annex of the Revised Kyoto Convention (RKC) requires that the Goods Declaration be a statement made in the manner prescribed by Customs, by which the persons concerned (importer/exporter or agent) indicate the Customs procedure to be applied to the goods and furnish the particulars which Customs require for its application. The evolving international standards and harmonize data requirements for goods declarations make mandatory the application of the UN Layout Key for paper forms, or the WCO Recommendations on electronic messages. The latter are consolidated in the WCO Data Model, which is based on existing UN and ISO standards. For paper forms, the Single Administrative Document (SAD) of the European Community is the most widely used standardized Customs form, as it is the basis for the Asycuda Customs IT System developed and promoted by UNCTAD. |
| Cartridge | A cased quantity of explosives (excluding rocket motors) complete with its own means of ignition. - Source: International Ammunition Technical Guideline |
| Cartridge case | An item which is designed to hold an ammunition primer and propellant and to which a projectile may be affixed; its profile and size conform to the chamber of the weapon in which the round is fired. - Source: International Ammunition Technical Guideline |
| Cartridged explosive | Explosive contained in a casing (usually cylindrical) formed from paper, cardboard, plastics or other material and used in this form. - Source: International Ammunition Technical Guideline |
| Catch-all provision | The provision pertains to the responsibility of all states to prevent exports that may support proliferation efforts or other activities that are under sanctions. Implementation Assistance Notice No. 4, dated 28 June 2017 describes recommended procedures in connection with the catch-all provision applied to the DPRK sanctions. |
| CBW programs | Chemical and biological weapons program |
| CDD (Customer Due Diligence) | CDD information comprises the facts about a customer that should enable an organisation to assess the extent to which the customer exposes it to a range of risks. In a sanctions context these facts relate to any activities that are prohibited or fall under sanctions measures in force. |
| Certificate of origin (C/O or CoO) | Typically, a document used in international trade and issued by a government or commercial authority that attests to where export goods have been produced, manufactured, or extracted (raw material and minerals) or processed. In connection with arms trading, the partner document to a certificate of origin is the end use/user certificate. |
| Charge | General definition: A bagged, wrapped or cased quantity of explosives without its own integral means of ignition. Secondary means of ignition may or may not be incorporated. a) Charge (demolition): made up from bulk explosive for the express purpose of destruction by blast or brisance. b) Charge (expelling): generally low or deflagrating explosive designed to eject the payload from a parent munitions dispenser by gas pressure without damage to the sub-munitions. c) Charge (propelling): articles consisting of a propellant charge in any physical form, with or without a casing, for use in artillery, mortars, rockets, or as a component of rocket motors. - Source: International Ammunition Technical Guideline |
| Chemical precursors | Typically, a compound that participates in a chemical reaction that produces another compound. Such compounds may be prohibited under WMD sanctions. |
| Chemical weapons | A toxic chemical loaded into a delivery system such as a munition (i.e., a complete device for exposing a population to a substance that can cause death or other injuries through its chemical action). |
| Chemical Weapons Convention (CWC) | Adopted by the Conference on Disarmament in Geneva on 3 September 1992, the CWC allows for the stringent verification of compliance by State Parties. The CWC opened for signature in Paris on 13 January 1993 and entered into force on 29 April 1997. The CWC is the first disarmament agreement negotiated within a multilateral framework that provides for the elimination of an entire category of weapons of mass destruction under universally applied international control. |
| Cluster munitions | Containers designed to disperse or release multiple sub-munitions. - Source: International Ammunition Technical Guideline |
| Collecting and preserving evidence | The integrity of the system to collect and store information that may lead to designations of sanctions violations, while not necessarily having to match standards of judicial procedures, must reflect the severity of the consequences that may affect those to be designated. The methodology of and evidentiary standards applied by the expert group and the secretariat’s storage practices of relevant information represent the UN sanctions system’s evidence handling system. |
| Commercial off the Shelf (CoTS) | An equipment that is available direct from the manufacturer and requires no further development prior to introduction into service apart from minor modifications. - Source: International Ammunition Technical Guideline |
| Complete, Verifiable and Irreversible Manner (CVID) | The CVID standard is periodically promoted during mediation with the DPRK to indicate the dismantlement of the proliferation infrastructure. Critics point out that anything that is dismantled can be rebuilt eventually. |
| Competent Authorities | Refers to all public authorities with designated responsibilities for combating money- laundering and/or terrorist financing. In particular, this includes the FIU (Financial Intelligence Unit); the authorities that have the function of investigating and/or prosecuting money laundering, associated predicate offences and terrorist financing, and seizing/freezing and confiscating criminal assets; authorities receiving reports on cross-border transportation of currency & BNIs; and authorities that have AML/CFT supervisory or monitoring responsibilities aimed at ensuring compliance by financial institutions and DNFBPs with AML/CFT requirements. SRBs are not to be regarded as a competent authority. Source: Glossary of the FATF Recommendations |
| Comprehensive sanctions | An outdated approach to UN sanctions that prohibited all imports, exports, and financing activities. Their indiscriminate impact that essentially cripples a nation, including its innocent civilians, triggered heavy criticism in the mid 1990s.. Eventually, they were replaced with targeted sanctions. |
| Concrete measures | Usually concrete measures are expected to be taken by member states when implementing UN sanctions. While inherently unspecified, member states should design their “concrete measures” in response to the observed, suspected or alleged activities of sanctions violators. |
| Condensates and natural gas liquids | Natural gas liquids are usually a mixture of liquid hydrocarbons (mostly pentanes and heavier hydrocarbons) extracted from natural gas, including isopentane. Condensates result from recovered liquids at gas inlet separators or scrubbers in processing plants. |
| Confiscation | The term confiscation, which includes forfeiture where applicable, means the permanent deprivation of funds or other assets by order of a competent authority or a court. Confiscation or forfeiture takes place through a judicial or administrative procedure that transfers the ownership of specified funds or other assets to be transferred to the State. In this case, the person(s) or entity(ies) that held an interest in the specified funds or other assets at the time of the confiscation or forfeiture loses all rights, in principle, to the confiscated or forfeited funds or other assets. Confiscation or forfeiture orders are usually linked to a criminal conviction or a court decision whereby the confiscated or forfeited property is determined to have been derived from or intended for use in a violation of the law. Source: Glossary of the FATF Recommendations Confiscation of asset seizures should not be confused with asset freezes, the action usually taken within the UN sanction system. |
| Convention on Certain Conventional Weapons (CCW) | A convention that seeks to prohibit or restrict the use of certain conventional weapons which are considered excessively injurious or whose effects are indiscriminate. The full title is Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons Which May Be Deemed to Be Excessively Injurious or to Have Indiscriminate Effects. |
| Conventional ammunition | A complete device, (e.g. missile, shell, mine, demolition store etc.) charged with explosives, propellants, pyrotechnics or initiating composition for use in connection with offence, or defence, or training, or non-operational purposes, including those parts of weapons systems containing explosives. - Source: International Ammunition Technical Guideline |
| Cooperative entities | Cooperate entities is a term rarely used in UN sanctions, but frequently applied by unilateral sanctions issuers to help distinguish from non-cooperative entities. These descriptions are relevant in the evaluation of actors. Those associated with non-cooperative entities are considered to be higher risk actors than those associated with cooperative entities. |
| Correspondent banking | Correspondent banking is the provision of banking services by one bank (the “correspondent bank”) to another bank (the “respondent bank”). Large international banks typically act as correspondents for thousands of other banks around the world. Respondent banks may be provided with a wide range of services, including cash management (e.g. interest-bearing accounts in a variety of currencies), international wire transfers, cheque clearing, payable-through accounts and foreign exchange services. Source: Glossary of the FATF Recommendations |
| Correspondent relationships | In international banking, correspondent relations facilitate transactions between parties that are not connected in an active relationship. Often, transactions are undertaken between unrelated banks through the network of the Society for Worldwide Interbank Financial Telecommunication (SWIFT) or similar service providers. |
| Country of origin of goods | In the sanctions context, the origin of traded materials, specifically conflict minerals or other commodities originating in conflict regions, can have important implications. Determining the country of origin is a standard obligation of trading partners’ due diligence. |
| Criminal Activity | Some member states have incorporated into their legal systems provisions that allow the criminal prosecution of sanctions violations and violators. |
| Cross-border wire transfer | Any wire transfer where the ordering financial institution and beneficiary financial institution are located in different countries. This term also refers to any chain of wire transfer in which at least one of the financial institutions involved is located in a different country. Source: Glossary of the FATF Recommendations |
| Cultural property | Some sanctions regimes extend to the protection of cultural property, for example in the case of ISIL (Da’esh) whose looting of important cultural property was part of the terrorist organizations revenue-raising efforts. |
| Currency | Refers to banknotes and coins that are in circulation as a medium of exchange. Source: Glossary of the FATF Recommendations |
| Customs Maritime Zone | Within the definitions of the United Nations Convention on the Law of the Sea (UNCLOS) Customs zones apply to:
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| Customs controls | According to the WCO Glossary of Customs terms “Customs Controls” are measures applied to ensure compliance with the laws and regulations which Customs are responsible for enforcing. All international movements have to be declared for a Customs-approved treatment or use. Applicable laws and regulations apply to both the fiscal obligations involved in the international movement of goods and persons, and the prohibitions and restrictions applicable to goods, persons and means of transport. |
| Dangerous goods | Items classified under the United Nations (UN) system within Classes 1 to 9 in accordance with the UN Transport of Dangerous Goods Regulations (Orange Book). - Source: International Ammunition Technical Guideline |
| Deceptive maritime practices | Based on observations of mostly DPRK-operated or controlled ships, evolving deceptive strategies are reported. They include altering their vessel identification information, falsifying cargo documents, disabling satellite tracking devices and other manipulations to disguise the location of a vessel. As UN sanctions incorporate more stringent restrictions, deceptive practices are expected to grow more elaborate, including for example transferring fuel or other embargoed cargo on the high seas. |
| Delisting | The removal of individual or entity from UN sanctions list. The criteria for delisting is in general terms the absence of any activities that contravenes UN sanctions. The delisting of a designated individuals, company or entity proceeds however along the political prerogatives of sanctions committees. Petitioners, other than those whose names are inscribed on the ISIL (Da’esh) and Al-Qaida Sanctions List, can submit de-listing requests either through the focal point process outlined in resolution 1730 (2006) or through their State of residence or citizenship. Petitioners whose names are inscribed on the ISIL (Da’esh) and Al-Qaida Sanctions List can submit their de-listing requests through the Office of the Ombudsperson. |
| Demilitarization | The complete range of processes that render weapons, ammunition and explosives unfit for their originally intended purpose. - Source: International Ammunition Technical Guideline |
| Deregister | With UN sanctions, owners of maritime vessels may risk losing the registration of ships and therefore the ability to operate the vessels, if shipping activities are discovered that violate UN sanctions. |
| Designated individuals or entities | Individuals and entities subject to sanctions measures imposed by the Security Council. The designation,and the measures thereunder, remain applicable as long as no delisting decision is announced by the designating sanctions committee. |
| Detonator | General: a device containing a sensitive explosive intended to produce a detonation wave. Article consisting of a small metal or plastic tube containing a primary explosives charge, such as lead azide, and a secondary explosives charge, such as PETN, or other combinations of explosives normally not exceeding a mass of 2g. a) Detonator (delay): detonator assembly in which a time delay between initiation and detonation is included. (Delay detonators can be electric, electronic or non-electric.) b) Detonator (electric): detonator assembly activated by means of an electric current. (Electric detonators include direct current (DC) and alternating current (AC) (magnetically coupled) systems.) c) Detonator (electronic): detonator assembly in which the time delay is achieved by means of an electronic chip activated by an electric or non-electric stimuli. d) Detonator (instantaneous): detonator with no nominal time delay. e) Detonator (non-electric): detonator assembly initiated by means of shock tube or other means not involving electrical stimuli as the primary mode of initiation. f) Detonator (plain): instantaneous detonator supplied without means of initiation. - Source: International Ammunition Technical Guideline |
| Diversion | The shifting of weapons, ammunition or explosives from the legal market or owner to an illegal market or owner as a result of losses, theft, leakage or proliferation from a stockpile or other source. - Source: International Ammunition Technical Guideline |
| Donor explosive | Serviceable explosive used in demolitions to initiate and destroy unserviceable ammunition and explosives during Explosive Ordnance Disposal (EOD) operations. - Source: International Ammunition Technical Guideline |
| Dual-use Items | Dual use is determined by an item’s applicability for civilian as well as military use. Dual-use qualifications apply to conventional arms and WMD.The precise nature of dual use items is defined by the Wassenaar Arrangement’s Export Controls for Conventional Arms and Dual-Use Goods and Technologies. The basic list of the Waasenaar Arrangement distinguishes ten categories of items with dual-use applications, including: Special Materials and Related Equipment, Materials Processing, Electronics, Computers, Telecommunications, Information Security, Sensors and Lasers, Navigation and Avionics, Marine, Aerospace and Propulsion. In recent years, an additional at-risk category is being proposed as “Below the Threshold items – signifying items that with little modification can be turned into a military-grade equipment. |
| E10 | Elected members of the Security Council that serve two-year terms. The Permanent Representatives of some E10 are also appointed to serve in their individual capacity as chairpersons of sanctions committees. |
| Economic resources | While in strict economic terms, economic resources are the factors used in producing goods or providing services, within the sanctions context they refer to tangible and intangible assets. They may include land, capital goods, cash, commodities, equity, debt or other forms of ownership of enterprises and production capacities (see also assets, and financial assets) |
| Electro-Explosive Device (EED) | A one-shot explosive or pyrotechnic device used as the initiating element in an explosive or mechanical train and which is activated by the application of electrical energy. - Source: International Ammunition Technical Guideline |
| End Use certification | Certification of the ultimate use of or operation of military equipment or facility. - Source: International Ammunition Technical Guideline |
| End User Certification | Certification of the ultimate user of military equipment or facility. - Source: International Ammunition Technical Guideline |
| Enhanced Vigilance | A term often used to signify the need for particularly attentive implementation and compliance efforts, enhanced vigilance is not circumscribed by specific actions. |
| Enriched Uranium. | Uranium containing a greater mass percentage of uranium-235 than 0.72%. |
| Exemptions | Those targeted by UN sanctions measures such as asset freeze, travel ban or arms embargo, may on a case-by-case basis apply for exemptions. Usually they are granted for reasons to protect humanitarian rights, specifically grant relief for medical, educational, cultural or religious needs, as well as to cover essential livelihood, enable participation in judicial and mediation procedures. |
| Explosive rdnance (EO) | All munitions containing explosives, nuclear fission or fusion materials and biological and chemical agents. This includes bombs and warheads; guided and ballistic missiles; artillery, mortar, rocket and small arms ammunition; all mines, torpedoes and depth charges; pyrotechnics; clusters and dispensers; cartridge and propellant actuated devices; electro-explosive devices; clandestine and improvised explosive devices; and all similar or related items or components explosive in nature. - Source: International Ammunition Technical Guideline |
| Explosive Ordnance Disposal (EOD) | The detection, identification, evaluation, render safe, recovery and final disposal of unexploded explosive ordnance, may also include the rendering safe and/or disposal of such explosive ordnance which have become hazardous by damage or deterioration, when the disposal of such explosive ordnance is beyond the capabilities of those personnel normally assigned the responsibility for routine disposal. The level of EOD response is dictated by the condition of the ammunition, its level of deterioration and the way that the local community handles it. - Source: International Ammunition Technical Guideline |
| Explosive Remnants of War (ERW) | Unexploded ordnance (UXO) and abandoned explosive ordnance (AXO) that remain after the end of an armed conflict. - Source: International Ammunition Technical Guideline |
| False Declaration | 1.In a financial context: A misrepresentation of the value of currency or BNIs being transported, or a misrepresentation of other relevant data required for submission in the declaration or otherwise requested by the authorities. This includes failing to make a declaration as required. 2.In a Customs context: The filing of shipping and customs declarations that contains untrue or inaccurate information. Source: Glossary of the FATF Recommendations |
| Financial assets | Tangible liquid asset whose underlying value is connected with contractual obligations. They include cash, equity and debt securities, bank deposits, precious metals and stones. |
| Financial institution | Any natural or legal person who conducts as a business one or more of the following activities or operations for or on behalf of a customer: 1. Acceptance of deposits and other repayable funds from the public (including from private banks). 2. Lending, including consumer credit; mortgage credit; factoring, with or without recourse; and finance of commercial transactions (including forfeiting). 3. Financial leasing, not including financial leasing arrangements in relation to consumer products. 4. Money or value transfer services, does not apply to any natural or legal person that provides financial institutions solely with message or other support systems for transmitting funds. 5. Issuing and managing means of payment (e.g. credit and debit cards, cheques, traveller's cheques, money orders and bankers' drafts, electronic money). 6. Financial guarantees and commitments. 7. Trading in: (a) money market instruments (cheques, bills, certificates of deposit, derivatives etc.); (b) foreign exchange; (c) exchange, interest rate and index instruments; (d) transferable securities; (e) commodity futures trading. 8. Participation in securities issues and the provision of financial services related to such issues. 9. Individual and collective portfolio management. 10. Safekeeping and administration of cash or liquid securities on behalf of other persons. 11. Otherwise investing, administering or managing funds or money on behalf of other persons. 12. Underwriting and placement of life insurance and other investment related insurance, applies both to insurance undertakings and to insurance intermediaries (agents and brokers). 13. Money and currency changing. Source: Glossary of the FATF Recommendations |
| Financial Intelligence Unit (FIU) | National agencies mandated to detect criminal financial activity and ensure adherence to laws against financial crimes. Internationally, about 150 FIUs are operational. FIU’s have the ability to interact with each other in the areas of communications, information sharing, and training coordination. Supported with the Egmont Group’s secure Internet system, the Egmont Secure Web, participating states can exchange information outside the formalized diplomatic exchanges. The role of FIU’s for the enforcement of UN financial sanctions remains obscure. |
| Fissile material | Uranium-233, uranium-235, plutonium-239, plutonium-241 or any combination of these radionuclides. Excepted from this definition are: a) Uranium or depleted uranium which is unirradiated; (b) Natural uranium or depleted uranium which has been irradiated in thermal reactors only. (Not a scientific definition, but one designed to serve a specific regulatory purpose.) |
| Flag vessels | Flag vessels denotes the national sovereignty under which a merchant vessel is operated. International maritime law and commercial insurance rules require that all merchant ships be registered in a country, called its flag state, indicating the sovereign authority to which it belongs. UN sanctions authorize, under certain circumstances, the de-flagging of a vessel, rendering the owner with no legal options to continue the operation of the ship. |
| Focal Point for Delisting | Established pursuant to resolution 1730 (2006), the Focal Point receives de-listing requests and performs the tasks described in the annex to that resolution, as well as the tasks described in paragraphs 76 and 77 of resolution 2253 (2015) and paragraph 22 of resolution 2255 (2015). |
| Foreign counterparts | Foreign competent authorities that exercise similar responsibilities and functions in relation to the cooperation which is sought, even where such foreign competent authorities have a different nature or status. |
| Front company | A commercial entity that is set up for the purpose of disguising the true beneficial owner or operator of a program or project. Front companies are frequently used to further criminal intentions, to shield those designated under UN sanctions, or to perpetrate sanctions violations. Often, front companies are registered in jurisdictions that require minimal public disclosure of the beneficial owner. |
| Funds | Assets of every kind, whether corporeal or incorporeal, tangible or intangible, movable or immovable, however acquired, and legal documents or instruments in any form, including electronic or digital, evidencing title to, or interest in, such assets. Source: Glossary of the FATF Recommendations |
| Fuse | A device for protecting a circuit against damage from an excess current by the melting of a fuse element to break the circuit. - Source: International Ammunition Technical Guideline |
| Grenade | Munitions that are designed to be thrown by hand or to be launched from a rifle. Excludes rocket-propelled grenades. (c.f. rocket). - Source: International Ammunition Technical Guideline |
| Guided missiles | Guided missiles consist of propellant-type motors fitted with warheads containing high explosive or other active agent and equipped with electronic guidance devices. - Source: International Ammunition Technical Guideline |
| Hague Code of Conduct (HCOC) | An effort of the international community to internationally regulate on a voluntary basis the area of ballistic missiles capable of carrying weapons of mass destruction. The HCOC is the only multilateral transparency and confidence building instrument concerning the spread of ballistic missiles. |
| Harmonized System Convention (HS) | A code from the World Customs Organisation’s (WCO’s) more commonly referred to as the “Harmonized System” or HS. These six-digit codes are harmonised internationally, providing a standardised system for classifying traded products. Individual WCO Member States assign additional digits beyond these for more specific classification and tariff rates. |
| High Enriched Uranium (HEU) | Uranium containing 20% or more of the isotope 235U. HEU is considered a special fissionable material and a direct use material. |
| High Explosive (HE) | Substance or mixture of substances that can undergo a fast internal decomposition reaction leading to a detonation in its normal use. A substance or mixture of substances which, in their application as primary, booster or main charge in ammunition is required to detonate. - Source: International Ammunition Technical Guideline |
| Human Rights | Human rights are rights inherent to all human beings, regardless of race, sex, nationality, ethnicity, language, religion, or any other status. Human rights include the right to life and liberty, freedom from slavery and torture, freedom of opinion and expression, the right to work and education, and many more. Everyone is entitled to these rights, without discrimination. International human rights law lays down the obligations of Governments to act in certain ways or to refrain from certain acts, in order to promote and protect human rights and fundamental freedoms of individuals or groups. UN sanctions can be imposed to protect human rights. |
| Humanitarian exemption | As part of the UN sanctions exemption system, humanitarian exemptions are considered particularly important as they permit, subject to provisions of the Security Council sanctions resolution, and normally on a case-by-case basis, a designated individual to seek medical assistance abroad, pursue education, or benefit from financial exemptions to cover the livelihood of a target’s family. |
| Illegal exploitation of natural resources | The term has no formal definition. Generally, it is assumed that any exploitation of commodities that bypasses national authorities, in particular export permits and duties, is illegal exploitation. |
| Implementation Assistance Notice (IAN) | Detailed guidance issued by sanctions committees to member states and other actors with regard to implementation of specific sanctions provisions. |
| Implementation Support Unit (ISU) | Established within the Geneva Branch of the United Nations Office for Disarmament Affairs, the ISU Secretariat supports implementation of the Biological Weapons Convention. |
| Improvised Explosive Device (IED) | A device placed or fabricated in an improvised manner incorporating explosive material, destructive, lethal, noxious, incendiary, pyrotechnic materials or chemicals designed to destroy, disfigure, distract or harass. They may incorporate military stores, but are normally devised from non-military components. - Source: International Ammunition Technical Guideline |
| Inert | An item of ammunition that contains no explosive, pyrotechnic, lachrymatory, radioactive, chemical, biological or other toxic components or substances, that also differs from a drill munition in that it has not necessarily been specifically manufactured for instructional purposes. The inert state of the munition may have resulted from a render safe procedure or other process to remove all dangerous components and substances. It also refers to the state of the munition during manufacture prior to the filling or fitting of explosive or hazardous components and substances. - Source: International Ammunition Technical Guideline |
| Intangible assets | An asset that is not easily convertible into tangible assets because it is not physical in nature, such as goodwill, brand recognition and intellectual property, such as patents, trademarks and copyrights. In the context of UN asset freezes, intangible assets are challenging because of their elusive nature. A class of assets that has important relevance to the UN sanctions asset freeze. Intangible assets are the opposite of tangible assets that encompass fixed assets, such as machinery, buildings and land or inventories. (see also Asset, Property) |
| Intermediary financial institution | In a sanction context, any financial service provider, other than a bank or insurance company, that may or may not be regulated by national authorities. Intermediary financial institutions or service providers include currency exchanges, credit or stock brokers, fiduciaries, remittance services and many others. FATFT further defines a financial institution that receives and transmits a wire transfer on behalf of the ordering financial institution and the beneficiary financial institution, or another intermediary financial institution. |
| Intermediary transport service | Often also referred to as third party logistics companies, they facilitate and serve the services of rail, motor, air, and ocean carriers, or they support Customs clearance procedures, pre-shipping inspections, and brokering of all of these services. |
| International Humanitarian Law (IHL) | UN sanctions often refer to and attempt to protect IHL. Also known as the law of war or the law of armed conflict, the set of rules which seek to limit the effects of armed conflict to protect persons who are not or are no longer participating in the hostilities and use of armed forces. International humanitarian law is a set of rules which seek, for humanitarian reasons, to limit the effects of armed conflict. It protects persons who are not or are no longer participating in the hostilities and restricts the means and methods of warfare. International humanitarian law is also known as the law of war or the law of armed conflict. International humanitarian law applies to armed conflicts. It does not regulate whether a State may actually use force; this is governed by an important, but distinct, part of international law set out in the United Nations Charter. |
| INTERPOL Special Notice | In a UN sanctions context, a Special Notice is issued for individuals and entities that are subject to sanctions imposed by the Security Council. Its principal function is to alert national law enforcement authorities that an assets freeze, travel ban and arms embargo may be applied to designated individuals and entities. Special Notices alert law enforcement agencies worldwide that a given individual or entity is subject to UN sanctions, and in doing so, to help give effect to those sanctions. Special Notices contain information that assists law enforcement officers to take appropriate action in accordance with their national laws. Special Notices are circulated to all INTERPOL member countries through INTERPOL’s secure global communications system. Extracts of Special Notices also appear on the public website. |
| Inventory management | The systems and processes that identify stockpile requirements, the condition of the stockpile of arms and ammunition, provide replenishment techniques and report actual and projected inventory status. - Source: International Ammunition Technical Guideline |
| Joint ventures | Commercial projects or enterprises that are pursued by two or more parties are considered to be joint ventures. Many different forms of legal definitions and incorporations are available across the jurisdictions of the world, including corporations, partnerships, or limited liability companies. |
| Legal person | Any entity other than a natural person that can establish a permanent customer relationship with a financial institution or otherwise own property. This can include companies, bodies corporate, foundations, anstalt, partnerships, or associations and other relevantly similar entities. Source: Glossary of the FATF Recommendations |
| Light weapon | Any man-portable lethal weapon designed for use by two or three persons serving as a crew (although some may be carried and used by a single person) that expels or launches, is designed to expel or launch, or may be readily converted to expel or launch a shot, bullet or projectile by the action of an explosive. It includes, inter alia, heavy machine guns, hand-held under-barrel and mounted grenade launchers, portable anti-aircraft guns, portable anti-tank guns, recoilless rifles, portable launchers of anti- tank missile and rocket systems, portable launchers of anti-aircraft missile systems, and mortars of a caliber of less than 100 millimetres, as well as their parts, components and ammunition. - Source: International Ammunition Technical Guideline |
| Livelihood purposes | In the context of UN sanctions exemptions, livelihood purposes are an important consideration for case-by-case approval by sanctions committees to provide relief to those subject to asset freezes. |
| Lot | A predetermined quantity of ammunition or components which is as homogeneous as possible and, under similar conditions may be expected to give uniform performance. A lot would normally be manufactured from the same raw materials, using the same production technique and in the same production run. - Source: International Ammunition Technical Guideline |
| Lot number | A number allocated to a lot which uniquely identifies that lot. - Source: International Ammunition Technical Guideline |
| Low Enriched Uranium (LEU) | Enriched uranium containing less than 20% of the isotope 235U. LEU is considered a special fissionable material and an indirect use material |
| Luxury Goods | In DPRK sanctions, a measure that was adopted without providing specific guidance concerning the definition of “luxury goods”. The lack of guidance was deliberate to instill an element of unpredictability meant to add discomfort to the North Korean elites, the most likely consumers of restricted luxury goods. Implementation Assistance Notice No. 3, dated 20 January 2017 summarizes decisions by member states to prohibit the export of luxury goods to North Korea. |
| Mandate | A commission granted by the UN Security Council to provide certain circumscribed actions, such as implementation, or monitoring of sanctions. |
| Means of delivery | In most cases the means of delivery refers to the part of a weapon system that serves to deliver a weapon to a target. Typically these are missiles capable of transporting a payload of several hundred pounds. However, means of delivery could also include, as the Protocol II to the CCW and the Amended Protocol II to the CCW indicate, mines, booby-traps and other devices. In the context of UN sanctions, the development, test-firing and use of ballistic missiles is prohibited for North Korea. |
| Member States of the United Nations | The definition for UN membership is defined under Chapter II, Article 4 of the UN Charter: 1. Membership in the United Nations is open to all peace-loving states which accept the obligations contained in the present Charter and, in the judgement of the Organization, are able and willing to carry out these obligations. 2. The admission of any such state to membership in the United Nations will be effected by a decision of the General Assembly upon the recommendation of the Security Council. UN membership conveys the obligation, in Article 25, to implement all decisions taken by the Security Council under Chapter VII, Article 41. |
| Methodological standards | While no formalized definition for UN sanctions methodology exists, the past 20 years of expert group practices have shown that certain aspects tend to enhance and protect the integrity of the UN sanctions system. Key components are: independence from any political or national preferences, reported facts that are accurate and unimpeachable, the collection and reporting of information in a manner that corresponds to the high humanitarian and due process standards of the United Nations, and full transparency and accountability to the sanctions committee. |
| Mine | An explosive munition designed to be placed under, on or near the ground or other surface area and to be activated by the presence, proximity or contact of a person, land vehicle, aircraft or boat, including landing craft. - Source: International Ammunition Technical Guideline |
| Mineral trade and traceability schemes | Experimentation with certification of conflict-free origins for minerals is the latest chapter in the long experimentation by the UN system to control conflict-promoting impacts of raw materials extraction and trade. It originated with UN sanctions monitoring efforts on the Democratic Republic of the Congo in 2005 and the search for an integration of conflict mineral traceability with UN sanctions. It has evolved to today’s due diligence obligations that commercial actors must observe when trading in minerals that could otherwise enrich negative actors. |
| Missile | An armament store designed to be released from an aircraft or discharged from a gun or launcher towards a selected point usually to cause damage at that point. - Source: International Ammunition Technical Guideline |
| Missile Technology Control Regime (MTCR). | The MTCR coordinates national export licensing efforts aimed at restricting, on a voluntary basis, the proliferation of missiles, complete rocket systems, unmanned air vehicles, and related technology for those systems capable of carrying a 500 kilogram payload at least 300 kilometers, as well as systems intended for the delivery of weapons of mass destruction (WMD). Partners also recognize the importance of controlling the transfer of missile-related technology without disrupting legitimate trade and acknowledge the need to strengthen the objectives of the Regime through cooperation with countries outside the Regime. |
| Money or Value Transfer Service (MVTS) | Financial services that involve the acceptance of cash, cheques, other monetary instruments or other stores of value and the payment of a corresponding sum in cash or other form to a beneficiary by means of a communication, message, transfer, or through a clearing network to which the MVTS provider belongs. Transactions performed by such services can involve one or more intermediaries and a final payment to a third party, and may include any new payment methods. Sometimes these services have ties to particular geographic regions and are described using a variety of specific terms, including hawala, hundi, and fei-chen. Source: Glossary of the FATF Recommendations |
| Nationals | Individuals with citizenship of a certain country. The national identification of individuals is relevant for the implementation of UN sanctions, for example in regards to the UN travel ban, or in certain restrictions on North Koreans. |
| National stockpile | The full range of ammunition stockpiles in a country under the control of separate organisations such as the police, military forces (both active and reserve), border guards, ammunition producing companies, etc. It includes all ammunition types, irrespective of classification (i.e. operational, training or awaiting disposal). - Source: International Ammunition Technical Guideline |
| Necessary measures to prevent entry into or transit … | The specific measures are not defined beyond the need for border control authorities to have at their disposal and to use updated lists of individuals who are designated for the UN travel ban. |
| Nerve agent | A group of chemical weapon agents that inhibit the action of the enzyme acetylcholinesterase. Inhibition of acetylcholinesterase causes continuous stimulation of target organs, which primarily include muscles. Physical symptoms of nerve agent exposure include pupil constriction, muscle paralysis, and death due to respiratory failure – all due to the muscles’ inability to relax or stop constricting. See the Volume I Introduction to Chemical Weapons and Dual-Use Chemical Technology. |
| Non-lethal military equipment | Any military or police equippment intended for personal protection, e.g helmets, bullet-proof vests, protective shields. Non-lethal military equipment may be exempted from an arms embargo, for example for national police forces being re-trained by the UN, or for peacekeeping forces, representatives of international aid organizations or media. |
| Non-profit organisations | Any legal person or arrangement or organisation that primarily engages in raising or disbursing funds for purposes such as charitable, religious, cultural, educational, social or fraternal purposes, or for the carrying out of other types of “good works”. Source: Glossary of the FATF Recommendations |
| Nonproliferation | While the literal meaning is the prevention of the spread of something, within the UN sanctions context, the term is understood to mean the spread of nuclear arms, or of other WMDs, including missile capabilities. |
| Nuclear material | Plutonium except that with isotopic concentration exceeding 80% in plutonium-238; uranium-233; uranium enriched in the isotope 235 or 233; uranium containing the mixture of isotopes as occurring in nature other than in the form of ore or ore residue; any material containing one or more of the foregoing. Nuclear material is necessary for the production of nuclear weapons or other nuclear explosive devices. Under comprehensive safeguards agreements, the IAEA verifies that all nuclear material subject to safeguards has been declared and placed under safeguards. Certain non-nuclear materials are essential for the use or production of nuclear material and may also be subject to IAEA safeguards under certain agreements. The Statute of the IAEA [31] uses the term special fissionable material, with the meaning essentially of nuclear material as defined here, but explicitly excluding source material. For the purposes of IAEA safeguards agreements, nuclear material is defined as “any source material or special fissionable material as defined in Article XX of the Statute of the IAEA”. |
| Nuclear Suppliers Group | A group of nuclear supplier countries that seeks to contribute to the non-proliferation of nuclear weapons through the implementation of two sets of Guidelines for nuclear exports and nuclear-related exports. The NSG Guidelines also contain the so-called “Non-Proliferation Principle,” adopted in 1994, whereby a supplier, notwithstanding other provisions in the NSG Guidelines, authorises a transfer only when satisfied that the transfer would not contribute to the proliferation of nuclear weapons. |
| Office of the Ombudsperson | Reviews requests from individuals, groups, undertakings or entities seeking to be removed from the ISIL (Da'esh) and Al-Qaida Sanctions List of the Security Council's ISIL (Da'esh) and Al-Qaida Sanctions Committee The Office was established by Security Council resolution 1904 (2009). |
| Ordering Financial Institution | A financial institution which initiates a wire transfer and transfers the funds upon receiving the request for an wire transfer on behalf of the originator. Source: Glossary of the FATF Recommendations |
| Organisation for the Prohibition of Chemical Weapons (OPCW) | The OPCW is the implementing body for the Chemical Weapons Convention (CWC), which entered into force on 29 April 1997. The OPCW, with its 193 Member States, oversees the global endeavour to permanently and verifiably eliminate chemical weapons. Based in The Hague, the technical secretariat proposes policies for the implementation of the Chemical Weapons Convention to the Member States of the OPCW, and develops and delivers programmes with and for them. |
| Originator | Account holder who allows the wire transfer from that account, or where there is no account, the natural or legal person that places the order with the ordering financial institution to perform the wire transfer. Source: Glossary of the FATF Recommendations |
| P5 | The five permanent members of the UN Security Council: China, France, Russian Federation, the United Kingdom, and the United States. |
| Panel of Experts | Also called Expter Group. A group of independent experts who are mandated by the Security Council and appointed by the Secretary General to monitor compliance with UN sanctions and report on violations. |
| Payable-through accounts | Refers to correspondent accounts that are used directly by third parties to transact business on their own behalf. Source: Glossary of the FATF Recommendations |
| Penholder | Member of the UN Security Council, usually a permanent member, who initiates and chairs the informal drafting process of a decision of the Council. |
| Personal Protective Equipment (PPE) | All equipment and clothing designed to provide protection, which is intended to be worn or held by an employee at work and which protects him/her against one or more risks to his/her safety or health. - Source: International Ammunition Technical Guideline |
| Physical cross-border transportation | Any in-bound or out-bound physical transportation of currency or BNIs from one country to another country. The term includes the following modes of transportation: (1) physical transportation by a natural person, or in that person’s accompanying luggage or vehicle; (2) shipment of currency or BNIs through containerised cargo; or (3) the mailing of currency or BNIs by a natural or legal person. Source: Glossary of the FATF Recommendations |
| Politically Exposed Persons (PEPs) | Foreign PEPs are individuals who are or have been entrusted with prominent public functions by a foreign country, for example H\heads of state or government, senior politicians, senior government, judicial or military officials, senior executives of state-owned corporations, or important political party officials. Domestic PEPs are individuals who are or have been entrusted domestically with prominent public functions, for example heads of state or government, senior politicians, senior government, judicial or military officials, senior executives of state owned corporations, important political party officials. Persons who are or have been entrusted with a prominent function by an international organisation such as members of senior management, i.e. directors, deputy directors and members of the board or equivalent functions.The definition of PEPs is not intended to cover middle ranking or more junior individuals in the foregoing categories. Source: Glossary of the FATF Recommendations |
| Precursor | A chemical that can be used to produce another chemical via chemical reaction; or a chemical that can be used to make a chemical weapon agent. Also generally known as a reactant. |
| Primer | A self-contained munition which is fitted into a cartridge case or firing mechanism and provides the means of igniting the propellant charge. - Source: International Ammunition Technical Guideline |
| Procurement | The process of research, development and production or purchase which leads to ammunition or an equipment being accepted as suitable for use, and continues with the provision of spares and post design services throughout the life of the ammunition or equipment. - Source: International Ammunition Technical Guideline |
| Projectile | An object capable of being propelled by a force normally from a gun, and continuing in motion by virtue of its kinetic energy. - Source: International Ammunition Technical Guideline |
| Proliferation | The increase or spread of weapons and ammunition to users. - Source: International Ammunition Technical Guideline |
| Proliferation-Sensitive Activities | Any activities that represent a contribution to the illegal proliferation of WMD: |
| Propellant | Deflagrating explosive used for propulsion.
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| Property | Assets of every kind, whether corporeal or incorporeal, moveable or immoveable, tangible or intangible, and legal documents or instruments evidencing title to, or interest in such assets. Source: Glossary of the FATF Recommendations (see also Assets, Virtual Asset) |
| Rare earth minerals | A group of minerals for which refining capacities is relatively constrained despite widely distributed deposits in many countries around the world. Some rare earth minerals are used for WMD and conventional arms components. |
| Reasonable measures | In a financial context: Appropriate measures which are commensurate with money laundering, terrorist, nonproliferation or other sanctions-relevant financing risks. |
| Re-exportation | After importation, goods are exported again to a third country, often using free trade zones, and without any further processing of the imported goods. Re-exportation schemes that take advantage of the lower transparency and accountability rules typical for free trade or tax zones, are among the more frequently used strategies to conceal sanctions violations. |
| Registration | International maritime law and commercial insurance rules require that all merchant ships be registered in a country, called its flag state, indicating the sovereign authority to which it belongs. For UN sanctions, the registration is a point of leverage for operators or owners who employ their vessels in contravention of UN sanctions. Under certain circumstances, the registration can be revoked, the ship de-flagged and therefore the vessel no longer has the ability to operate lawfully. |
| Re-insurance services | A sector of the international risk and liability insurance industry that helps to mitigate risks assumed by the primary insurer. Re-insurance risks by an insurance companies that is usually not active in a particular country that may be under sanctions, can be an illegal strategy to provide insurance where it is prohibited by financial service restrictions and other sanctions. |
| Refined petroleum products | Most oil is refined into petroleum products such as gasoil, kerosene, several fuel oils used for different types of engines, or lubricating oils. |
| Render Safe Procedure (RSP) | The application of special explosive ordnance disposal methods and tools to provide for the interruption of functions or separation of essential components to prevent an unacceptable detonation- Source: International Ammunition Technical Guideline |
| Research reactor | A nuclear reactor used mainly for the generation and utilization of neutron flux and ionizing radiation for research and other purposes, including experimental facilities associated with the reactor and storage, handling and treatment facilities for radioactive materials on the same site that are directly related to safe operation of the research reactor. Facilities commonly known as critical assemblies are included. |
| Rocket | (Missile) Munitions consisting of a rocket motor and a payload, which may be an explosive warhead or other device. The term often includes both guided and unguided missiles, although it traditionally referred to unguided missiles. - Source: International Ammunition Technical Guideline |
| Rocket Motor | Articles consisting of a solid, liquid or hypergolic fuel contained in a cylinder fitted with one or more nozzles, designed to propel a rocket or a guided missile. - Source: International Ammunition Technical Guideline |
| Sanctions | Sanctions measures, under Article 41 of the UN Charter, encompass a broad range of enforcement options that do not involve the use of armed force. Sanctions thus offer the UN Security Council an important instrument to enforce its decisions. UN sanctions are not meant as a punishment, but as a coercive tool to prevent conflicts or protect innocent civilians from the effects of conflicts, terrorism, proliferation of WMD or atrocities. |
| Sanctions Committee | A body that according to Article 29 of the United Nations Charter and to Rule 28 of the Council’s Provisional Rules of Procedure can be established by the Security Council as needed for the performance of its functions. All existing committees and working groups are comprised of the fifteen members of the Council. |
| Secretariat | The UN Secretariat is the administrative branch of the UN system, headed by the Secretary-General. Within the sanctions context, the Department of Political Affairs, through its Security Council Affairs Division (SCAD), provides various forms of support to subsidiary bodies established by the Security Council, particularly sanctions committees and groups of experts who assist them in overseeing sanctions regimes. |
| Sectoral sanctions | Restrictions on entire sectors of a state’s economy. The term is not used in the UN sanctions context. The Office of Foreign Asset Control (OFAC) of the US Treasury Department created a new Sectoral Sanctions Identifications (SSI) List specifying compliance requirements for sectoral sanctions on the Russian economy, including financial services, energy, mining, and defense and related materiel sectors. |
| Security Council Affairs Devision (SCAD) | SCAD provides various forms of support to subsidiary bodies established by the UN Security Council, particularly sanctions committees and groups of experts who assist them in overseeing sanctions regimes. SCAD assists Committee Chairpersons in developing a strategic programme of work; in planning effective meetings and in preparing the necessary documentation; in drafting correspondence, committee guidelines and periodic reports; and in maintaining effective liaison with Member States as well as with regional and non-governmental organizations. |
| Seize | Prohibit the transfer, conversion, disposition or movement of property on the basis of an action initiated by a competent authority or a court under a freezing mechanism. However, unlike a freezing action, a seizure is affected by a mechanism that allows the competent authority or court to take control of specified property. The seized property remains the property of the natural or legal person(s) that holds an interest in the specified property at the time of the seizure, although the competent authority or court will often take over possession, administration or management of the seized property. Source: Glossary of the FATF Recommendations |
| Settlor | A person who is not necessarily the beneficial owner of assets, but has the power to settle property on trust law for the benefit of beneficiaries. Within the sanctions context, settlors can be one way that an actual beneficial owner of assets can disguise control over assets. |
| Sexual and Gender Based Violence (S/GBV) | Sexual and gender-based violence (SGBV) refers to any act that is perpetrated against a person’s will and is based on gender norms and unequal power relationships. It encompasses threats of violence and coercion. It can be physical, emotional, psychological, or sexual in nature, and can take the form of a denial of resources or access to services. It inflicts harm on women, girls, men and boys. Confronting the perpetrators of SGBV has gained traction over the past few years. Some sanctions measures are applied for the purpose of protecting victims while targeting those responsible for this type of violence. Individuals or entities involved in planning, directing or committing acts involving sexual and gender-based violence can be subject to targeted sanctions. |
| Shell bank/company | An entity that has no physical presence in the country in which it is incorporated and licensed, and which is unaffiliated with a regulated financial group that is subject to effective consolidated supervision. Physical presence means meaningful minding and management of the bank or company located within a country. The existence simply of a local agent or low level staff does not constitute physical presence. |
| Small arm | Any man-portable lethal weapon designed for individual use that expels or launches, is designed to expel or launch, or may be readily converted to expel or launch a shot, bullet or projectile by the action of an explosive. It includes, inter alia, revolvers and self-loading pistols, rifles and carbines, sub-machine guns, assault rifles and light machine guns, as well as their parts, components and ammunition. Usually antique small arms and their replicas are excluded. - Source: International Ammunition Technical Guideline |
| Small Arms Ammunition (SAA) | Small arms ammunition (less than 20mm caliber) consists of cartridges used in rifles, carbines, revolvers, pistols, submachine guns, and machine guns and shells used in shotguns. - Source: International Ammunition Technical Guideline |
| Smuggling | Customs offence consisting in the movement of goods across a customs frontier in any clandestine manner, thereby evading customs control |
| Spare parts | A part that can replace a lost or damaged part of a machine. In the context of UN sanctions, this means parts that can be used to fix, replace or alter arms and material of all types such as weapons and ammunition, military vehicles and equipment and paramilitary equipment. Spare parts can also be used to elevate a dual-use item to military-grade. |
| Special Notices (by Interpol) | In a UN sanctions context, a Special Notice is issued for individuals and entities that are subject to sanctions applied by the United Nations Security Council. Its principal function is to alert national law enforcement authorities that an asset freeze, travel ban and arms embargo may be applied to designated individuals and entities. Special Notices alert law enforcement agencies worldwide that a given individual or entity is subject to UN sanctions, and in doing so, help to give effect to those sanctions. Special Notices contain information that assists law enforcement officers to take appropriate action in accordance with their national laws. Special Notices are circulated to all INTERPOL member countries through INTERPOL’s secure global communications system. Extracts of Special Notices also appear on the public website. |
| Stockpile | A large, accumulated stock of explosive ordnance. Often used interchangeably with stock or to denote the ammunition retained in a specific ammunition storage facility or depot (c.f. stock; c.f. national stockpile). - Source: International Ammunition Technical Guideline |
| Stockpile destruction | The physical activities and destructive procedures leading to a reduction of the national stockpile. (c.f. destruction; c.f. demilitarization; c.f. disposal (logistic); c.f. stockpile). - Source: International Ammunition Technical Guideline |
| Stockpile management | Procedures and activities regarding safe and secure accounting, storage, transportation and handling of ammunition and explosives. - Source: International Ammunition Technical Guideline |
| Stockpile safety | The result of measures taken to ensure minimal risk of accidents and hazards deriving from explosive ordnance to personnel working with arms and munitions as well as adjacent populations. - Source: International Ammunition Technical Guideline |
| Stockpile security | The result of measures taken to prevent the theft of explosive ordnance, entry by unauthorized persons into explosive storage areas, and acts of malfeasance, such as sabotage. - Source: International Ammunition Technical Guideline |
| Suspicious Activity Report (SAR) | Often also referred to as Suspicious Transaction Report (STR). Financial institutions are required to report activities and transactions that meet certain criteria of suspicious or potentially suspicious behavior. The criteria to decide when a report must be made varies from country to country, but generally is any financial transaction that does not make sense to the financial institution; is unusual for that particular client; or appears to be done only for the purpose of hiding or obfuscating another, separate transaction. An SAR/STR is usually filed with a country's financial crime enforcement agency, which is typically a specialist agency designed to collect and analyze transactions and then report these to relevant law enforcement. The financial institution is not allowed to inform the client or parties involved in the transaction that an SAR has been lodged. |
| Suspicious Transaction Report (STR) | Often also referred to as Suspicious Activity Report (SAR). Financial institutions are required to report activities and transactions that meet certain criteria of suspicious or potentially suspicious behavior. The criteria to decide when a report must be made varies from country to country, but generally is any financial transaction that does not make sense to the financial institution; is unusual for that particular client; or appears to be done only for the purpose of hiding or obfuscating another, separate transaction. An STR/SAR is usually filed with a country's financial crime enforcement agency, which is typically a specialist agency designed to collect and analyze transactions and then report these to relevant law enforcement. The financial institution is not allowed to inform the client or parties involved in the transaction that an STR has been lodged. |
| Tangible Assets | A class of assets that has important relevance to the UN sanctions asset freeze. Tangible assets are fixed, such as machinery, buildings and land. Inventories are tangible but current assets because of their inherent fluctuations in quantity and value. Tangible assets are the opposite of intangible assets that include patents, trademarks, copyrights, goodwill and brand recognition (see also Asset, Property) |
| Targeted financial sanctions | Applies to asset freezing and prohibitions to prevent funds or other assets from being made available, directly or indirectly, for the benefit of designated persons and entities. Source: Glossary of the FATF Recommendations |
| Territorial integrity | Within the sanctions context a breach of the territorial integrity of a state can be a benchmark that the Security Council under Article 39 of Chapter VII of the UN Charter interprets as a trigger to impose sanctions against the aggressor. |
| Terrorist | Any natural person who: (i) commits, or attempts to commit, terrorist acts by any means, directly or indirectly, unlawfully and willfully; (ii) participates as an accomplice in terrorist acts ; (iii) organises or directs others to commit terrorist acts ; or (iv) contributes to the commission of terrorist acts by a group of persons acting with a common purpose where the contribution is made intentionally and with the aim of furthering the terrorist act or with the knowledge of the intention of the group to commit a terrorist act. Source: Glossary of the FATF Recommendations |
| Terrorist Act | a) An act which constitutes an offence within the scope of, and as defined in one of the following treaties: (i) Convention for the Suppression of Unlawful Seizure of Aircraft (1970); (ii) Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation (1971); (iii) Convention on the Prevention and Punishment of Crimes against Internationally Protected Persons, including Diplomatic Agents (1973); (iv) International Convention against the Taking of Hostages (1979); (v) Convention on the Physical Protection of Nuclear Material (1980); (vi) Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, supplementary to the Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation (1988); (vii) Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation ( 2005); (viii) Protocol for the Suppression of Unlawful Acts against the Safety of Fixed Platforms located on the Continental Shelf (2005); (ix) International Convention for the Suppression of Terrorist Bombings (1997); and (x) International Convention for the Suppression of the Financing of Terrorism (1999). (b) Any other act intended to cause death or serious bodily injury to a civilian, or to any other person not taking an active part in the hostilities in a situation of armed conflict, when the purpose of such act, by its nature or context, is to intimidate a population, or to compel a Government or an international organisation to do or to abstain from doing any act. Source: Glossary of the FATF Recommendations |
| Terrorist financing | The financing of terrorist acts, and of terrorists and terrorist organisations. Source: Glossary of the FATF Recommendations |
| Terrorist organisation | Any group of terrorists that: (i) commits, or attempts to commit, terrorist acts by any means, directly or indirectly, unlawfully and willfully; (ii) participates as an accomplice in terrorist acts; (iii) organises or directs others to commit terrorist acts; or (iv) contributes to the commission of terrorist acts by a group of persons acting with a common purpose where the contribution is made intentionally and with the aim of furthering the terrorist act or with the knowledge of the intention of the group to commit a terrorist act. Source: Glossary of the FATF Recommendations |
| TNT (2, 4, 6 Trinitrotoluene) | One of the most widely used military high explosives. TNT is very stable, non-hygroscopic and relatively insensitive to impact, friction, shock and electrostatic energy. TNT is the most widespread type of explosive used in ammunition. - Source: International Ammunition Technical Guideline |
| Toxin weapons | Toxin weapons are banned by the Biological Weapons Convention that regulates the prohibition of the development, production and stockpiling of bacteriological (biological) and toxin weapons and their destruction. |
| Tracer ammunition | Ammunition containing pyrotechnic substances designed to reveal the trajectory of a projectile. - Source: International Ammunition Technical Guideline |
| Trafficking in persons | Article 3, paragraph (a) of the Protocol to Prevent, Suppress and Punish Trafficking in Persons defines Trafficking in Persons as the recruitment, transportation, transfer, harbouring or receipt of persons, by means of the threat or use of force or other forms of coercion, of abduction, of fraud, of deception, of the abuse of power or of a position of vulnerability or of the giving or receiving of payments or benefits to achieve the consent of a person having control over another person, for the purpose of exploitation. Exploitation shall include, at a minimum, the exploitation of the prostitution of others or other forms of sexual exploitation, forced labour or services, slavery or practices similar to slavery, servitude or the removal of organs. Increasingly, violators are targeted with UN sanctions. |
| Tracing | The systematic tracking of illicit ammunition from the point of its manufacture or import, through the lines of supply, to the point at which it became illicit. - Source: International Ammunition Technical Guideline |
| Transit | Within the UN sanctions context the conveyance of persons or goods is relevant whenever international boundaries are crossed by individuals under a UN travel ban, or by goods that are subject to a UN embargo. |
| Travel ban | One of the three major UN sanctions measures that are applied to individuals to curb their ability to cross international boundaries. |
| Trustee | Refers to the legal relationships created – inter-vivos or on death - by a person, the settlor, when assets have been placed under the control of a trustee for the benefit of a beneficiary or for a specified purpose. A trust has the following characteristics - a) the assets constitute a separate fund and are not a part of the trustee's own estate; b) title to the trust assets stands in the name of the trustee or in the name of another person on behalf of the trustee; c) the trustee has the power and the duty, in respect of which he is accountable, to manage, employ or dispose of the assets in accordance with the terms of the trust and the special duties imposed upon him by law. The reservation by the settlor of certain rights and powers, and the fact that the trustee may himself have rights as a beneficiary, are not necessarily inconsistent with the existence of a trust. Source: Glossary of the FATF Recommendation |
| UN Convention on the Law of the Sea | A multilateral agreement that regulates and governs the sea-bed, ocean floors, subsoil of the seas, that are beyond the limits of national jurisdiction. The law also addresses some uses of the seas, such as fishery, mining, or conservation issues. As part of some sanctions the law can be relevant where it regulates the rights of coastal states, or the usage of straits. |
| Undertaking | Usually refers to any type of enterprise that is not formally registered or incorporated as a company or governmental entity. Undertakings can be subject to UN sanctions, in particular, an asset freeze. |
| Unexploded Ordnance (UXO) | Explosive ordnance which has been primed, fused, armed or otherwise prepared for action, and which has been dropped, fired, launched, projected, or placed in such a manner as to constitute a hazard to operations, installations, personnel or material and remains unexploded either by malfunction or design or for any other cause. - Source: International Ammunition Technical Guideline |
| User | An individual or organisation that operates equipment or a facility. (see also End Use, End User) - Source: International Ammunition Technical Guideline |
| Violations | Any behavior that contravenes the provisions of UN sanctions resolutions. |
| Virtual asset | A virtual asset is a digital representation of value that can be digitally traded, or transferred, and can be used for payment or investment purposes. Virtual assets do not include digital representations of fiat currencies, securities and other financial assets that are already covered elsewhere in the FATF Recommendations. Source: Glossary of the FATF Recommendations See also asset, property. |
| Virtual asset service providers | Virtual asset service provider means any natural or legal person that as a business conducts one or more of the following activities or operations for or on behalf of another natural or legal person: i. exchange between virtual assets and fiat currencies; ii. exchange between one or more forms of virtual assets; iii. transfer of virtual assets, including transaction on behalf of another natural or legal person that moves a virtual asset from one virtual asset address or account to another. iv. safekeeping and/or administration of virtual assets or instruments enabling control over virtual assets; and v. participation in and provision of financial services related to an issuer’s offer and/or sale of a virtual asset. Source: Glossary of the FATF Recommendations |
| Wassenaar Arrangement | Under the Arrangement, participating States apply export controls to all items set forth in the List of Dual-Use Goods and Technologies and the Munitions List, with the objective of preventing unauthorized transfers or re-transfers of those items. |
| Warhead |
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| Weapon | Anything used, designed or intended for use in causing death or injury, or for the purposes of threatening or intimidating any person. (see also arms, ammunition) - Source: International Ammunition Technical Guideline |
| Weapons of Mass Destruction (WMD) | Biological, chemical and nuclear weapons are considered to be Weapons of Mass Destruction. Often, transport devices such as ballistic missiles are considered as part of WMDs. With the exception of the development, production and use of missiles, WMDs are highly regulated with a number of multilateral conventions and international laws. |
| Zangger Committee | Named after its first Chairman Prof. Claude Zangger, the Zangger Committee was formed following the coming into force of the Nuclear Non-Proliferation Treaty (NPT), to serve as the "faithful interpreter" of its Article III, paragraph 2, to harmonize the interpretation of nuclear export control policies for NPT Parties. |