Footnotes
1 This includes imposition of sanctions on States, groups of States, and sub-State entities, and does not count multiple applications of sanctions to any one case. The 12 cases, listed with the initial authorizing Security Council resolution (SCR) and date of first application of sanctions are: Iraq (SCR 661) August 1990; Former Yugoslavia (SCR 713) September 1991; Somalia (SCR 733) January 1992; Libyan Arab Jamahiriya (SCR 748) March 1992; Liberia (SCR 788) November 1992; Haiti (SCR 841) June 1993; AngolaUNITA (SCR 864) September 1993; Rwanda (SCR 918) May 1994; Sudan (SCR 1054) April 1996; Sierra Leone (SCR 1132) October 1997; Afghanistan (SCR 1267) October 1999; Ethiopia and Eritrea (SCR 1298) May 2000.
2 The two cases of UN sanctions prior to 1990 were: (1) South Africa, 1977 to 1994; and (2) Southern Rhodesia, 1966 to 1979.
3 Eric Hoskins, The Impact of Sanctions: A Study of UNICEF’s Perspective (New York: UNICEF Office of Emergency Programmes, February 1998); Larry Minear, David Cortright, J. Wagler, G. Lopez, and T. Weiss, Towards More Humane and Effective Sanctions Management: Enhancing the Capacity of the United Nations System, Occasional Paper No. 31 of the Thomas J. Watson Jr. Institute for International Studies (Providence, R.I.: Brown University, 1998).
4 This body was previously referred to as the “IASC Technical Group on Sanctions”.
5 See Richard Garfield, Economic Sanctions, Health, and Welfare in the Federal Republic of Yugoslavia: 1990-2000 (New York and Belgrade:OCHA and UNICEF Belgrade, 2001): 4750.
6 See the following two reports of the SecretaryGeneral published during 2001: United Nations Security Council, Report of the Secretary-General on the Humanitarian Implications of the Measures Imposed by Security Council Resolutions 1267 (1999) and 1333 (2000) on Afghanistan, UN Doc. S/2001/695 (New York: United Nations, 13 July 2001); United Nations Security Council, Report of the Secretary-General on the Humanitarian Implications of the Measures Imposed by Security Council Resolutions 1267 (1999) and 1333 (2000) on the Territory of Afghanistan under Taliban Control, UN Doc. S/2001/1215 (New York: United Nations, 18 December 2001).
7 The Thomas J. Watson Jr. Institute for International Studies, Targeted Financial Sanctions: A Manual for Design and Implementation—Contributions from the Interlaken Process (Providence, R.I.: The Thomas J. Watson Jr. Institute for International Studies, October 2001).
8 Michael Brzoska, ed., Design and Implementation of Arms Embargoes and Travel and Aviation Related Sanctions: Results of the “Bonn-Berlin Process” (Bonn: Bonn International Center for Conversion, 2001).
9 Peter Wallensteen et al., ed., Making Targeted Sanctions Effective: Guidelines for the Implementation of UN Policy Options [Final Report on the Stockholm Process on the Implementation of Targeted Sanctions] (Uppsala: Department of Peace and Conflict Research, Uppsala University, 2003).
10 For more on the concept and applications of human security, see, for example: The Commission on Human Security (CHS), Human Security Now (Final Report of the Commission on Human Security) (New York: Commission on Human Security, 2003); see also: Kanti Bajpai, Human Security: Concept and Measurement, Occasional Paper No. 19 of the Joan B. Kroc Institute for International Peace Studies, University of Notre Dame, August 2000.
11 The inclusion of education in the core cluster mirrors the increased role education has played in considerations of basic conditions of life, especially for children, in recent years. See, for example, Graça Machel, The Impact of Armed Conflict on Children: A Critical Review of Progress Made and Obstacles Encountered in Increasing Protection for Waraffected Children, International Conference on Waraffected Children, Winnipeg, Canada, September 2000, p. 27.
12 For more information on the Sphere Project, see its website
13 For an example of the use of causal analysis by UNICEF, see section on “Causes of Child Malnutrition” in, United Nations Children’s Fund, The State of the World’s Children, 1998 (New York: Oxford University Press, 1998), 2335.
14 There are many names used for establishing chains of causation from a variety of social science fields. They include rationale explanation, reason analysis, process tracing, historical analysis, objective trees, and logical networks, and logical network analysis.
15 United Nations Security Council, Report of the SecretaryGeneral in pursuance of paragraph 13 (a) of resolution 1343 (2001) concerning Liberia, UN Doc. S/2001/939 (New York: United Nations, 5 October 2001).
16 Kenneth J. Rothman and S. Greenland, Modern Epidemiology, Second Edition (Philadelphia: LipincottRaven, 1998); Alfred S. Evans, Causation and Disease: A Chronological Journey (New York: Plenum, 1993).
17 Robert P. Abelson, Statistics as Principled Argument (Hillsdale, N.J.: L. Erlbaum Associates, 1995).
18 Donald T. Campbell and Julian C. Stanley, Experimental and QuasiExperimental Designs for Research (Chicago: Rand McNally, 1966).
19 The approach presented here is for causal models in general. Section 5.4 describes how to generate a causal model for the specific task of assessing the humanitarian implications of sanctions.
20 UNICEF-Iraq, The Situation of Children in Iraq (Baghdad: UNICEF, February 2002), pp. 78, 38.
21 Often the measure that is looked at is the percentage of newborns who fall below the threshold of weight that categorizes them as “low birth weight” or “very low birth weight”.
22 International Study Team, Infant and Child Mortality and Nutritional Status of Iraqi Children after the Gulf Conflict (Cambridge, MA: International Study Team, 1992).
23 Guidelines for undertaking a baseline assessment are outlined in Section 5.3.3.
24 In the case of Angola sanctions were imposed on a particular group (UNITA), while in Iraq sanctions were implemented differently in the three northern governorates, as compared to the rest of the country.
25 Donald T. Campbell and Julian C. Stanley, Experimental and Quasi-Experimental Designs for Research (Chicago: Rand McNally, 1966).
26 The subsequent assessment was issued as a report of the UN SecretaryGeneral: United Nations Security Council, Report of the Secretary-General in pursuance of paragraph 19 of resolution 1478 (2003) concerning Liberia, UN Doc. S/2003/793 (New York: United Nations, 5 August 2003).
27 This principle or assumption underlying crosstime comparisons is referred to as “ceteris paribus”, meaning: under the assumption that other things are equal or that other variables are unchanged.
28 See Brent Burkholder and Leslie Boss (Journal of the American Medical Association, August 1994), who established these guidelines after working with UNICEF-Somalia and attempting to make sense of the cacophony of agency survey results provided to them, with potentially valuable numbers in them but without the contextual information about what they referred to, when, and how to allow them to be analysed together.
29 Annex I provides a brief review of the extent to which previous assessment methodologies have addressed this second challenge.
30 For example, during the sanctions in Haiti and the international intervention in Somalia, both in 1993, basic statistics about child health were unavailable. UN annual reports printed estimates based on data that were many years old.
31 See: Amartya Sen, Poverty and Famines (New York: Oxford University Press, 1981).
32 WFP Iraq—North Coordination Office, Vulnerability Analysis and Mapping (VAM): Secondary Data Analysis (WFP Iraq, May 2002).
33 For a more detailed description of the Analytical Hierarchy Process, see the following book by one of the pioneers of this technique;: Thomas L. Saaty, The Analytic Hierarchy Process (New York: McGraw Hill, 1980), and also, Ernest H. Forman and Mary Ann Selly, Decision by Objectives (World Scientific, 2001)
34 Peter Wallensteen et al., eds., Making Targeted Sanctions Effective: Guidelines for the Implementation of UN Policy Options [Final Report on the Stockholm Process on the Implementation of Targeted Sanctions] (Uppsala: Department of Peace and Conflict Research, Uppsala University, 2003).
35 Claude Bruderlein, DHA Report on Regional Sanctions Against Burundi (New York: United Nations Department of Humanitarian Affairs, December 1997).
36 The Thomas J. Watson Jr. Institute for International Studies, Targeted Financial Sanctions: A Manual for Design and Implementation—Contributions from the Interlaken Process (Providence, R.I.: The Thomas J. Watson Jr. Institute for International Studies, October 2001), p. 34.
37 Peter Wallensteen et al. eds., Making Targeted Sanctions Effective: Guidelines for the Implementation of UN Policy Options [Final Report on the Stockholm Process on the Implementation of Targeted Sanctions] (Uppsala: Department of Peace and Conflict Research, Uppsala University, 2003), p. 22.
38 For effectiveness of sanctions as political tools, see Gary C. Hufbauer, Jeffery J. Schott, and Kimberly Ann Elliott, Economic Sanctions Reconsidered: History and Current Policy, 2nd Edition (Washington, D.C.: Institute for International Economics, 1990); and Robert A. Pape, “Why Economic Sanctions Do Not Work”, International Security 22, No. 2 (Fall 1997), pp. 90-136. For economic impact of sanctions on target states, see: Kimberly Ann Elliott, Methodology and Criteria for Assessing the Impact of Economic Sanctions on Target States (Washington: Institute for International Economics, June 1997).
39 Claudia Von Braunmühl, and Manfred Kulessa, The Impact of UN Sanctions on Humanitarian Assistance Activities. Report of a Study Commissioned by the United Nations Department of Humanitarian Affairs (Berlin: Gesellschaft für Communication Management Interkultur Training mbH—COMIT, December 1995).
40 Ibid., 38.
41 Eric Hoskins, The Impact of Sanctions: A Study of UNICEF’s Perspective.
42 Minear et al., Towards More Humane and Effective Sanctions Management, 23-54.
43 Ibid., 23.
44 Office of the UN Coordinator for Afghanistan, Vulnerability and Humanitarian Implications of UN Security Council Sanctions in Afghanistan (Islamabad: Office of the UN Coordinator for Afghanistan, December 2000).
45 United Nations Security Council, Report of the Secretary-General on the Humanitarian Implications of the Measures Imposed by Security Council Resolutions 1267 (1999) and 1333 (2000) on Afghanistan, UN Doc. S/2001/241 (New York: United Nations, 20 March 2001); and United Nations Security Council, Report of the Secretary-General on the Humanitarian Implications of the Measures Imposed by Security Council Resolutions 1267 (1999) and 1333 (2000) on Afghanistan, UN Doc. S/2001/695 (New York: United Nations, 13 July 2001).
46 United Nations Security Council, Report of the Secretary-General in pursuance of paragraph 13 (a) of resolution 1343 (2001) concerning Liberia, UN Doc. S/2001/939 (New York: United Nations, 5 October 2001).
47 United Nations Security Council, Report of the Secretary-General in pursuance of paragraph 19 of resolution 1478 (2003) concerning Liberia, UN Doc. S/2003/793 (New York: United Nations, 5 August 2003).
48 Eric Hoskins, The Impact of Sanctions: A Study of UNICEF’s Perspective; Larry Minear, et al., Towards More Humane and Effective Sanctions Management; Richard Garfield, The Impact of Economic Sanctions on Health and Well-being. Network Paper 31 of the Relief and Rehabilitation Network (RRN) (London: Overseas Development Institute, November 1999)
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