Iran: U.S. Economic Sanctions and the
Authority to Lift Restrictions
Dianne E. Rennack
Specialist in Foreign Policy Legislation
December 1130, 2014
Congressional Research Service
7-5700
www.crs.gov
R43311
Iran: U.S. Economic Sanctions and the Authority to Lift Restrictions
Summary
The United States has led the international community in imposing economic sanctions on Iran,
in an effort to change the government of that country’s support of acts of international terrorism,
poor human rights record, weapons and missile development and acquisition, role in regional
instability, and development of a nuclear program.
This report identifies the legislative bases for sanctions imposed on Iran, and the nature of the
authority to waive or lift those restrictions. It comprises two tables that present legislation and
executive orders that are specific to Iran and its objectionable activities in the areas of terrorism,
human rights, and weapons proliferation. It will be updated if and when new legislation is
enacted, or, in the case of executive orders, if and when the President takes additional steps to
change U.S. policy toward Iran.
Other CRS reports address the U.S.-Iran relationship, including a comprehensive discussion of
the practical application of economic sanctions: CRS Report RS20871, Iran Sanctions, by
Kenneth Katzman. See also CRS Report R43333, Iran: Interim Nuclear Agreement and Talks on
a Comprehensive Accord, by Kenneth Katzman, Paul K. Kerr, and Mary Beth D. Nikitin; CRS
Report R43492, Achievements of and Outlook for Sanctions on Iran, by Kenneth Katzman; CRS
Report RL32048, Iran: U.S. Concerns and Policy Responses, by Kenneth Katzman; and CRS
Report R40094, Iran’s Nuclear Program: Tehran’s Compliance with International Obligations, by
Paul K. Kerr.
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Iran: U.S. Economic Sanctions and the Authority to Lift Restrictions
Contents
Overview.......................................................................................................................................... 1
Authority to Waive or Lift Economic Sanctions .............................................................................. 2
International Terrorism Determination ...................................................................................... 3
Legislation and Executive Orders .................................................................................................... 4
Tables
Table 1. Iran—Economic Sanctions Currently Imposed in Furtherance of U.S. Foreign
Policy or National Security Objectives......................................................................................... 6
Table 2. Executive Orders Issued to Meet Statutory Requirements To Impose Economic
Sanctions on Iran ........................................................................................................................ 30
Contacts
Author Contact Information........................................................................................................... 38
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Iran: U.S. Economic Sanctions and the Authority to Lift Restrictions
Overview
The regime of economic sanctions against Iran is arguably the most complex the United States
and the international community have ever imposed on a rogue state. Iran’s economy was once
integrated into world trade, markets, and banking. As relations deteriorated, for the United States
starting during Iran’s 1979 revolution and hostage-taking at the U.S. Embassy, and for the larger
international community over more recent human rights, regional stability, and nuclear
proliferation concerns, this complete economic integration offered seemingly limitless
opportunities to impose economic restrictions and create points where pressure could be applied
to bring Iran back into conformity with international norms.
The June 2013 election of President Hassan Rouhani seemed to have created the possibility of an
opening between the United States and Iran. The presidents of each nation addressed a fall 2013
meeting of the U.N. General Assembly, and spoke directly to one another shortly thereafter—the
first direct contact at the top level in 34 years. Diplomatic staff representing the United States,
Russia, China, France, Britain (permanent members of the U.N. Security Council), plus Germany
(P5+1), met with Iran’s foreign ministry in mid-October 2013 on the heels of that contact. Over
November 7-9, 2013, these negotiators drafted an interim deal that would require Iran to limit its
nuclear program and, in exchange, require the United States and others to ease economic
sanctions affecting Iran’s access to some of its hard currency held abroad. The P5+1 and Iran
negotiators agreed to a Joint Plan of Action (JPOA) on November 24, 2013, under which Iran
would commit to placing “meaningful limits of its nuclear program,” and the P5+1 states would
“provide Iran with limited, targeted, and reversible sanctions relief for a six-month period.”1
Subsequently, all parties agreed to extend the terms of the JPOA an additional six months, to July
20, 2014, and again to November 24, 2014. As the November deadline was reached without final
agreement, all parties extended terms of the JPOA—including sanctions relief—through June 30,
2015.
The sudden possibility that the United States may ease financial sector sanctions, and perhaps
commit to an eventual dismantling of the entire panoply of economic restrictions on Iran affecting
aid, trade, shipping, banking, insurance, underwriting, and support in the international financial
institutions, arrived at a time when Congress had been considering additional sanctions on Iran.
The House adopted H.R. 850, the Nuclear Iran Prevention Act of 2013, on July 31, 2013, by a
vote of 400-20. That act would require new economic restrictions on trade in cars manufacturing
and extractive industries, further impede financial activities, and place greater demands for
sanctions compliance by third countries. In the Senate, H.R. 850 was referred to the Committee
1
U.S. Department of the Treasury. Office of Foreign Assets Control. Guidance Relating to the Provision of Certain
Temporary Sanctions Relief In Order To Implement the Joint Plan of Action Reached on November 24, 2013, Between
the P5+1 and the Islamic Republic of Iran, January 20, 2014. 79 F.R. 5025; January 30, 2014. See also: U.S.
Department of the Treasury. Office of Foreign Assets Control. Publication of Guidance Relating to the Provision of
Certain Temporary Sanctions Relief, as Extended, July 21, 2014. 79 F.R. 45233; August 4, 2014; and Guidance
Relating to the Provision of Certain Temporary Sanctions Relief in Order to Implement the Joint Plan of Action
Reached on November 24, 2013, Between the P5+1 and the Islamic Republic of Iran, as Extended Through June 30,
2015. 79 F.R. 73141; December 8, 2014. See, also: Department of the Treasury. Frequently Asked Questions Relating
to the Temporary Sanctions Relief To Implement the Joint Plan of Action Between the P5+1 and the Islamic Republic
of Iran, January 20, 2014. OFAC has also issued a number of General Licenses related to sanctions relief, all available
at http://www.treasury.gov/ofac. See also Iranian Transactions and Sanctions Regulations, at 31 Code of Federal
Regulations (CFR) Part 560.
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Iran: U.S. Economic Sanctions and the Authority to Lift Restrictions
on Banking, Housing, and Urban Affairs, and a number of other legislative proposals have been
referred to committee that might provide the Senate a quick means to assert Congress’s influence
if implementation of the JPOA hits a snag or fails outright.2 The House Committee on Foreign
Affairs and Senate Committee on Foreign Relations have held hearings to during the 113th Congress to
assess the JPOA and
the United States’ diplomatic and economic options.3 the United States’ diplomatic and economic options.3
Although the Administration has provided sanctions relief to the extent the laws allow, the State
Department admonishes those persons and entities under U.S. jurisdiction that most transactions
continue to be prohibited and that
[a]ll suspended sanctions are scheduled to resume on July 1, 2015 unless further action is
taken by the P5+1 and Iran and subsequent waivers and guidance are issued by the U.S.
government. Companies engaging in activities covered by the temporary sanctions relief
should expect sanctions to apply to any activities that extend beyond the current end date of
the Extended JPOA Period, June 30, 2015. The temporary suspension of sanctions applies
only to activities that begin and end during the period January 20, 2014 to June 30, 2015.4
Authority to Waive or Lift Economic Sanctions
The ability to impose and ease economic sanctions with some nimbleness and responsiveness to
changing events is key to effectively using the tool in furtherance of national security or foreign
policy objectives. Historically, both the President and Congress have recognized this essential
requirement and have worked together to provide the President substantial flexibility. In the
collection of laws that are the statutory basis for the U.S. economic sanctions regime on Iran, the
President retains, in varying degrees, the authority to tighten and relax restrictions.
In the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 (CISADA;
P.L. 111-195, as amended; 22 U.S.C. 8501 et seq.),45 Congress grants to the President the authority
to terminate most of the sanctions imposed on Iran in that act as well as the Iran Threat Reduction
and Syria Human Rights Act of 2012 (P.L. 112-158; 22 U.S.C. 8701 et seq.), and Iran Freedom
and Counter-proliferation Act of 2012 (P.L. 112-239; 22 U.S.C. 8801 et seq.). Before terminating
these sanctions, however, the President must certify that the government of Iran has ceased its
engagement in the two critical areas of terrorism and weapons, as set forth in Section 401 of
CISADA—
SEC. 401 [22 U.S.C. 8551]. GENERAL PROVISIONS.
(a) SUNSET.—The provisions of this Act (other than sections 105 and 305 and the
amendments made by sections 102, 107, 109, and 205) shall terminate, and section
13(c)(1)(B) of the Investment Company Act of 1940, as added by section 203(a), shall cease
to be effective, on the date that is 30 days after the date on which the President certifies to
Congress that—
(1) the Government of Iran has ceased providing support for acts of international
terrorism and no longer satisfies the requirements for designation as a state sponsor of
terrorism (as defined in section 301) under—
2
2
National defense authorization acts were used to enact new sanctions and amend existing provisions on Iran in
FY2010, FY2012, and FY2013. See also: the Iran Sanctions Loophole Elimination Act of 2013 (S. 892); Iran Sanctions
Implementation Act of 2013 (S. 965); Iran Nuclear Compliance Act of 2013 (S. 1765).
3
U.S. Congress, House Committee on Foreign Affairs, Joint hearing of the Subcommittee on Middle East and North
Africa and Subcommittee on Terrorism, Nonproliferation, and Trade, Implementation of the Iran Nuclear Deal, 113th
Cong., 2nd sess., January 28, 2014; HFAC Subcommittee on Middle East and North Africa, Examining What a Nuclear
Iran Deal Means for Global Security, November 20, 2014; HFAC Subcommittee on Terrorism, Nonproliferation, and
Trade, Iranian Nuclear Talks: Negotiating a Bad Deal? November 18, 2014; Senate Committee on Foreign Relations,
Negotiations on Iran’s Nuclear Program, February 4, 2014, Regional Implications Of A Nuclear Deal With Iran, June
12, 2014, Iran: Status of the P-5+1, July 29, 2014, and Dismantling Iran’s Nuclear Weapons Program: Next Steps To
Achieve A Comprehensive Deal, December 3, 2014.
4
Department of State Public Notice 8985 of December 10, 2014. 79 F.R. 78550-78553; December 30, 2014.
5
Section 401(a) and (b)(1) of the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
(CISADA; P.L. 111-195; 22 U.S.C. 8551), as amended. Table 1 shows the sanctions for which Section 401 waiver
authority is applicable.
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SEC. 401 [22 U.S.C. 8551]. GENERAL PROVISIONS.
(a) SUNSET.—The provisions of this Act (other than sections 105 and 305 and the
amendments made by sections 102, 107, 109, and 205) shall terminate, and section
13(c)(1)(B) of the Investment Company Act of 1940, as added by section 203(a), shall cease
to be effective, on the date that is 30 days after the date on which the President certifies to
Congress that—
(1) the Government of Iran has ceased providing support for acts of international
terrorism and no longer satisfies the requirements for designation as a state sponsor of
terrorism (as defined in section 301) under—
(A) section 6(j)(1)(A) of the Export Administration Act of 1979 (50 U.S.C.
App. 2405(j)(1)(A)) (or any successor thereto);
(B) section 40(d) of the Arms Export Control Act (22 U.S.C. 2780(d)); or
(C) section 620A(a) of the Foreign Assistance Act of 1961 (22 U.S.C.
2371(a)); and
(2) Iran has ceased the pursuit, acquisition, and development of, and verifiably
dismantled its, nuclear, biological, and chemical weapons and ballistic missiles and
ballistic missile launch technology.
(b) PRESIDENTIAL WAIVERS.—
(1) IN GENERAL.—The President may waive the application of sanctions under
section 103(b), the requirement to impose or maintain sanctions with respect to a person
under section 105(a), 105A(a), 105B(a), or 105C(a) the requirement to include a person
on the list required by section 105(b), 105A(b), 105B(b), or 105C(b), the application of
the prohibition under section 106(a), or the imposition of the licensing requirement
under section 303(c) with respect to a country designated as a Destination of Diversion
Concern under section 303(a), if the President determines that such a waiver is in the
national interest of the United States.
International Terrorism Determination
To lift the majority of the economic sanctions imposed by CISADA, the President must determine
and certify that the government of Iran no longer supports acts of international terrorism. The
government of Iran is designated as a state sponsor of acts of international terrorism, effective
January 1984, pursuant to the Secretary of State’s authorities and responsibilities under Section
6(j) of the Export Administration Act of 1979. Various statutes impede or prohibit foreign aid,
financing, and trade because of that designation. Three laws (§620A, Foreign Assistance Act of
1961 [22 U.S.C. 2371]; §40, Arms Export Control Act [22 U.S.C. 2780]; and §6(j), Export
Administration Act of 1979 [50 U.S.C. app. 2405(j)]) form the “terrorist list.”56 Because these
statutes are not Iran-specific, they are not included in Table 1.
The President holds the authority to remove the designation of any country from the terrorist list.
Though each of the three laws provides slightly different procedures, the authority to delist Iran
resides with the President, and generally requires him to find that
•
there has been a fundamental change in the leadership and policies of the
government;
•
the government is not supporting acts of international terrorism; and
•
the government has assured that it will not support terrorism in the future.
5
6
§40A, Arms Export Control Act (22 U.S.C. 2780) also prohibits trade in defense articles and defense services to any
country the President finds “is not cooperating fully with Untied States antiterrorism efforts.” The President may waive
the prohibition if he finds it “important to the national interests” to do so. This provision requires the President to
annually identify uncooperative states; Iran has been listed since the provision’s enactment in 1996 (first list was issued
in 1997; authority to make certifications is currently delegated to the Secretary of State).(continued...)
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Iran: U.S. Economic Sanctions and the Authority to Lift Restrictions
The President holds the authority to remove the designation of any country from the terrorist list.
Though each of the three laws provides slightly different procedures, the authority to delist Iran
resides with the President, and generally requires him to find that
•
there has been a fundamental change in the leadership and policies of the
government;
•
the government is not supporting acts of international terrorism; and
•
the government has assured that it will not support terrorism in the future.
Alternatively, the President may notify Congress that the terrorism designation will be rescinded
in 45 days, and that the rescission is justified on the basis that
•
the government has not supported an act of terrorism in the preceding six
months; and
•
the government has assured that it will not support terrorism in the future.
In the case of foreign aid, the President also is authorized to provide aid despite the terrorism
designation if he finds that “national security interests or humanitarian reasons justify” doing so
and so notifies Congress 15 days in advance. In practical terms, the process of removing a state
from the list of sponsors of international terrorism is studied and argued throughout the entire
executive branch interagency, with those departments that are tasked with administering the
restrictions—primarily State, Commerce, Treasury, Justice, and Defense—each weighing in. For
a state to be delisted—which has occurred, most recently, to North Korea and Libya—the
Secretary of State publishes a public notice that the respective government no longer supports
acts of international terrorism; that starts the six-month countdown required by legislation. After
six months (or later), both the President and the Secretary of State issue determinations and
announcements, which is followed by a rewriting of each department’s regulations governing
exports, arms sales, transactions, and other related matters.
Legislation and Executive Orders
The two tables presented in this report identify the legislative bases for sanctions imposed on
Iran, and the nature of the authority to waive or lift those restrictions. Table 1 presents legislation,
and Table 2 shows executive orders that are specific to Iran and its objectionable activities in the
areas of terrorism, human rights, and weapons proliferation.
Public laws that are not specific to the objectionable activities of the government of Iran but have
been invoked to impede transactions or other economic or diplomatic relations are not included
here. Failure to achieve human rights standards as a condition for foreign aid (e.g., the Foreign
Assistance Act of 1961, the Trafficking Victims Protection Act of 2000, and related annual
appropriations), or refusal to comply with international nonproliferation norms (e.g., Chemical
and Biological Weapons Control and Warfare Elimination Act of 1991), for example, can trigger a
range of economic sanctions. These and other authorities have been applied to Iran. It is unlikely
(...continued)
in 1997; authority to make certifications is currently delegated to the Secretary of State). See also: CRS Report R43835,
State Sponsors of Acts of International Terrorism—Legislative Parameters: In Brief, by Dianne E. Rennack.
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Iran: U.S. Economic Sanctions and the Authority to Lift Restrictions
that these statutes would be amended if and when they no longer apply to Iran. Sanctions
authorized by these statutes are applied, and lifted, by executive branch decision.
On the other hand, because the President holds sole authority to renew, alter, and revoke
executive orders he issues pursuant to the National Emergencies Act (NEA) and the International
Emergency Economic Powers Act (IEEPA), Table 2 includes actions taken that are specific to
Iran and also actions taken that are not specific to Iran (e.g., Executive Order 13224 and 13382
target terrorists and proliferators, respectively) but have been applied to that country. The
authorities in these orders have been exercised to affect Iran in a significant way. Executive
orders are subject to their underlying statutory authorities: economic sanctions are most often
based on the President’s authorities established in IEEPA. These are applied and lifted by the
President; often their implementation and administration are delegated to the Secretary of the
Treasury, who in turn assigns the task to Treasury’s Office of Foreign Assets Control. Many of the
Iran-specific sanctions in statute cite the President’s authority to curtail transactions under IEEPA.
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In some instances, Congress has enacted restrictions on the President’s unilateral authority to
revoke an order, and the economic restrictions therein, until specific conditions are met.
The Departments of the Treasury and State have identified the provisions in laws and Executive
Orders that the United States would suspend or waive to implement the Joint Plan of Action of
November 24, 2013. In the following tables, these provisions are noted in bold in the far-right
columns.
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Table 1. Iran—Economic Sanctions Currently Imposed in Furtherance of U.S. Foreign Policy or National Security Objectives
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
FOREIGN AID: AUTHORIZATION AND APPROPRIATIONS
Sec. 307, Foreign
Assistance Act of
1961 (P.L. 87-195; 22
U.S.C. 2227; as
amended)
General foreign
policy reasons
Limits proportionate share of foreign aid to
international organizations which, in turn,
expend funds in Iran.
Statutory requirement
No waiver; exemption for certain UNICEF
and IAEA programs. Secretary of State may
block funds if he determines that IAEA
programs are “inconsistent with U.S.
nonproliferation and safety goals, will provide
Iran with training or expertise ... , or are
being used as a cover for the acquisition of
sensitive nuclear technology” and notifies
Congress.
Sec. 7007, Foreign
Operations
Appropriations
(Div. J, P.L. 113-235;
128 Stat. 2130P.L. 113-76; 128
Stat. 494; as
continued)
General foreign
policy reasons
Prohibits direct funding to the Government of
Iran, including Export-Import Bank funds.
Statutory requirement
No waiver, though “notwithstanding” clauses
elsewhere in appropriations and authorization
statutes could result in aid being made
available.
Sec. 7015(f), Foreign
Operations
Appropriations
(Div. J, P.L. 113-235;
128 Stat. 2130P.L. 113-76; 128
Stat. 499; as
continued)
General foreign
policy reasons
Prohibits most foreign aid to Iran, “except as
provided through the regular notification
procedures of the Committees on
Appropriations.”
Statutory requirement
President may waive or lift by exercising
notification procedures of the Committee on
Appropriations.
Sec. 7041(b),
Foreign
Operations
Appropriations
(P.L. 112-76; 128
Stat. 523; as
continuedDiv. J, P.L. 113-235;
128 Stat. 2130)
Nuclear
nonproliferation
Prohibits U.S. Export-Import Bank from
providing financing “to any person that is
subject to sanctions under” Sec. 5(a)(2) or (3)
of the Iran Sanctions Act of 1996—those under
sanctions for engaging in production or export
to Iran of refined petroleum products.
Statutory requirement
No waiver, though those sanctioned under
Sec. 5(a)(2) and (3), Iran Sanctions Act of
1996, is subject to change. See below.
CRS-6
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
IRAQ SANCTIONS ACT OF 1990
(P.L. 101-513; 50 U.S.C. 1701 note; extended to apply to Iran by Sec. 1603 of the Iran-Iraq Arms Non-proliferation Act of 1992; see below)
Sec. 586G
Nonproliferation
Prohibits:
Statutory requirement
—Sales under the Arms Export Control Act
(foreign military sales);
—Export licenses for commercial arms sales for
any USML item;
CRS-6
Statutory requirement
President may waive if he finds it “essential to
the national interest” to do so and notifies
the Armed Services, Foreign Affairs/Relations
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
Committees 15 days in advance (Sec. 1606,
IIANA).
—Export licenses for commercial arms sales for
any USML item;
—Export of Commerce Control List items; and
—export of nuclear equipment, materials, or
technology.
IRAN-IRAQ ARMS NON-PROLIFERATION ACT OF 1992 (IIANA)
(Title XVI of P.L. 102-484 (National Defense Authorization Act for Fiscal Year 1993); 50 U.S.C. 1701 note; as amended)
Sec. 1603
Nonproliferation
Makes selected sanctions in Sec. 586G, Iran
Sanctions Act of 1990, applicable for Iran (see
above).
Sec. 1604
Nonproliferation
For a period of 2 years, for any person who
“transfers goods or technology so as to
contribute knowingly and materially” to Iran’s
efforts “to acquire chemical, biological, or
nuclear weapons or to acquire destabilizing
numbers and types of advanced conventional
weapons”:
President may waive; see Sec. 586G, Iran
Sanctions Act of 1990, above.
Statutory requirement
President may waive if he finds it “essential to
the national interest” to do so and notifies
the Armed Services, Foreign Affairs/Relations
Committees 15 days in advance (Sec. 1606,
IIANA).
Statutory requirement
President may waive if he finds it “essential to
the national interest” to do so and notifies
the Armed Services, Foreign Affairs/Relations
Committees 15 days in advance (Sec. 1606,
IIANA).
—prohibits USG procurement contracts; and
—prohibits U.S. export licenses.
Sec. 1605
CRS-7
Nonproliferation
For any foreign government that “transfers
or retransfers goods or technology so as to
contribute knowingly and materially” to Iran’s
efforts “to acquire chemical, biological, or
nuclear weapons or to acquire destabilizing
numbers and types of advanced conventional
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
weapons”:
—Suspends foreign aid for one year;
—Requires U.S. opposition and “no” votes in
international financial institutions for one year;
—Suspends weapons codevelopment and
coproduction agreements for one year;
CRS-7
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
—Suspends exchange agreements and related
exports pertaining to military and dual-use
technology for one year (unless such activities
contribute to U.S. security); and
—Prohibits the export of USML items for one
year.
Sec. 1605(c)
Nonproliferation
The President may exercise IEEPA authorities,
excluding instances of “urgent humanitarian
assistance,” toward the foreign country. (See
IEEPA authorities, below.)
At the President’s
discretion
At the President’s discretion, following IEEPA
authorities (see below).
IRAN SANCTIONS ACT OF 1996 (ISA 1996)
(P.L. 104-172; 50 U.S.C. 1701 note; as amended; Act sunsets effective December 31, 2016 (Sec. 13(b))
Sec. 5(a), Sec, 6
Nonproliferation
Anti-terrorism
Sec. 5(a) identifies developing Iran’s energy
sector as behavior to be investigated and cause
for sanctions:
—investing in Iran’s petroleum resources;
—providing to Iran goods, services, technology,
information, or support relating to production
of refined petroleum products;
—trades in, facilitates, or finances Iran’s refined
petroleum products;
—joint ventures with the Government of Iran
to develop refined petroleum resources;
—supporting Iran’s development of petroleum
CRS-8
products;
—supporting Iran’s development of
petrochemical products;
—transporting crude oil from Iran; and
—concealing Iran origin of petroleum products
in the course of transporting such products.
President imposes, based
on investigation (Sec.
4(e)). Generally, imposed
for a period of 2 years
(Sec. 9(b)).
President may delay
imposition of sanctions
for up to 90 days in order
to initiate consultations
with foreign government
of jurisdiction (Sec. 9(a)).
The President may waive, case-by-case, for 6
months and for further 6-12 months
depending on circumstances, for a foreign
national if he finds it “vital to the national
security interests” and notifies the
Committees on Finance, Banking, Foreign
Relations. Foreign Affairs, Ways and Means,
Financial Services, 30 days in advance (Sec.
4(c)).
The President may waive for 12 months if the
targeted person is subject to a government
cooperating with U.S. in multilateral
nonproliferation efforts relating to Iran, it is
vital to national security interests, and he
notifies Congress 30 days in advance.
Statutory Basis
Rationale
Restriction
products;
—supporting Iran’s development of
petrochemical products;
—transporting crude oil from Iran; and
—concealing Iran origin of petroleum products
in the course of transporting such products.
The President may cancel an investigation
(precursor to imposing sanctions) if he
determines the person is no longer engaged
in objectionable behavior and has credible
assurances such behavior will not occur in the
future (Sec. 4(e)).
The President may not apply sanctions if
CRS-8
Statutory Basis
Rationale
Restriction
President may choose among the following
penalties, and is required to impose at least five
(Sec. 6):
—deny Export-Import Bank program funds;
—deny export licenses;
—prohibit loans from U.S. financial institutions;
—prohibit targeted financial institutions being
designated as a primary dealer or a repository
of government funds;
—deny U.S. government procurement
contracts;
—limit or prohibit foreign exchange
transactions;
—limit or prohibit transactions with banks
under U.S. jurisdiction;
—prohibit transactions related to U.S.-based
property;
—prohibit investments in equity of a targeted
entity;
—deny visas to, or expel, any person who holds
a position or controlling interest in a targeted
entity;
—impose any of the above on a targeted
entity’s principal executive officers; and
CRS-9
Authority To Impose
Authority To Lift or Waive
The President may cancel an investigation
(precursor to imposing sanctions) if he
determines the person is no longer engaged
in objectionable behavior and has credible
assurances such behavior will not occur in the
future (Sec. 4(e)).
The President may not apply sanctions if
—economic restrictions drawing from IEEPA
authorities (see below).
Authority To Impose
Authority To Lift or Waive
transaction:
—meets an existing contract requirement;
—is completed by a sole source supplier; or
—is “essential to the national security under
defense coproduction agreements”;
—is specifically designated under certain
trade laws;
—complies with existing contracts and
pertains to spare parts, component parts,
servicing and maintenance, or information and
technology relating to essential U.S. products,
or medicine, medical supplies or humanitarian
items (Sec. 6(f)).
The requirement to impose sanctions under
Sec. 5(a) has no force or effect if the
President determines Iran:
—has ceased programs relating to nuclear
weapons, chemical and biological weapons,
ballistic missiles;
—is no longer designated as a state supporter
of acts of international terrorism; and
—“poses no significant threat to United
States national security, interests, or allies.”
(Sec. 8).
President may lift sanctions if he determines
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
behavior has changed (Sec. 9(b)(2)).
—economic restrictions drawing from IEEPA
authorities (see below).
behavior has changed (Sec. 9(b)(2)).
President may waive sanctions if he
determines it is “essential to national security
interests” to do so (Sec. 9(c)).
President may delay imposition of sanctions
expanded by amendments in the
Comprehensive Iran Sanctions,
CRS-9
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
Accountability, and Divestment Act
(CISADA), relating to development and
export of refined petroleum products, for up
to 180 days, and in additional 180-day
increments, if President certifies objectionable
activities are being curtailed (CISADA, Sec.
102(h)).
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
5(a)(7) as it applies to National Iranian Oil
Company (NIOC) and the National Iranian
Tanker Company (NITC) for oil trade with
China, India, Japan, South Korea, Taiwan, and
Turkey, with conditions (vital to national
security interests). Extended in Guidance of
July 21, 2014 (79 F.R. 45233). Further
extended in Guidance of November 25,
2014 (79 F.R. 73141). See also State
Department Public Notice 8985 of
December 10, 2014 (79 F.R. 78551).
All U.S. government agencies are required to
certify any prospective contractor as not being
subject to sanctions under this section (Sec.
6(b)).
Sec. 5(b), Sec. 6
Nonproliferation
Anti-terrorism
Sec. 5(b) identifies developing Iran’s WMD or
other military capabilities as cause for sanctions:
—exports, transfers, and transshipments of
military/weapons goods, services, or technology;
and
—joint ventures relating to uranium mining,
production, or transportation.
President may choose among the following
penalties, and is required to impose at least five
(Sec. 6):
CRS-10
President may waive contractor certification
requirement, case-by-case, if he finds it
“essential to national security interests” to do
so (Sec. 6(b)(5)).
Statutory requirement;
generally imposed for a
period of 2 years (Sec.
9(b)).
The President may not apply sanctions if:
President may delay
—President determines the government of
jurisdiction did not know person was engaged
—in the case of joint venture, is terminated
within 180 days;
Statutory Basis
Rationale
Restriction
—joint ventures relating to uranium mining,
production, or transportation.
President may choose among the following
penalties, and is required to impose at least five
(Sec. 6):
—deny Export-Import Bank program funds;
Authority To Impose
imposition of sanctions
for up to 90 days in order
to initiate consultations
with foreign government
of jurisdiction (Sec. 9(a)).
Authority To Lift or Waive
in activity, or has taken steps to prevent
recurrence;
imposition of sanctions
for up to 90 days in order
to initiate consultations
with foreign government
of jurisdiction (Sec. 9(a)).
—President determines the government of
jurisdiction did not know person was engaged
in activity, or has taken steps to prevent
recurrence;
—in the case of joint venture, is terminated
within 180 days;
—case-by-case, President determines
approval of activity is “vital to national
security interests of the United States” and
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
—deny Export-Import Bank program funds;
notifies Congress; or
—deny export licenses;
The President may not apply sanctions if
transaction:
—prohibit loans from U.S. financial institutions;
—meets an existing contract requirement;
—prohibit targeted financial institutions being
designated as a primary dealer or a repository
of government funds;
—is completed by a sole source supplier; or
—deny U.S. government procurement
contracts;
—limit or prohibit foreign exchange
transactions;
—limit or prohibit transactions with banks
under U.S. jurisdiction;
—prohibit transactions related to U.S.-based
property;
—meets an existing contract requirement;
—is completed by a sole source supplier; or
—is “essential to the national security under
defense coproduction agreements”;
—is specifically designated under certain
trade laws;
—complies with existing contracts and
pertains to spare parts, component parts,
servicing and maintenance, or information and
technology relating to essential U.S. products,
or medicine, medical supplies or humanitarian
items (Sec. 5(f)).
—prohibit investments in equity of a targeted
entity;
—deny visas to, or expel, any person who holds
a position or controlling interest in a targeted
entity;
CRS-11
—impose any of the above on a targeted
entity’s principal executive officers; and
—economic restrictions drawing from IEEPA
authorities (see below).
All U.S. government agencies are required to
certify any prospective contractor as not being
subject to sanctions under this section (Sec.
6(b)).
IRAN, NORTH KOREA, AND SYRIA NONPROLIFERATION ACT (INKSA)
(P.L. 106-178; 50 U.S.C. 1701 note; as amended)
CRS-11
President may waive contractor certification
requirement, case-by-case, if he finds it
“essential to national security interests” to do
so (Sec. 6(b)(5)).
—economic restrictions drawing from IEEPA
authorities (see below).
President may lift sanctions if he determines
behavior has changed (Sec. 9(b)(2)).
All U.S. government agencies are required to
certify any prospective contractor as not being
subject to sanctions under this section (Sec.
President may waive sanctions if he
determines it is “essential to national security
Statutory Basis
Rationale
Restriction
Authority To Impose
6(b)).
Authority To Lift or Waive
interests” to do so (Sec. 9(c)).
IRAN, NORTH KOREA, AND SYRIA NONPROLIFERATION ACT (INKSA)
(P.L. 106-178; 50 U.S.C. 1701 note; as amended)
Sec. 3
Nonproliferation
President may waive sanctions if he
determines it is “essential to national security
interests” to do so (Sec. 9(c)).
Statutory Basis
Sec. 3
Rationale
Nonproliferation
Restriction
Foreign persons identified by President as having
transferred to or acquired from Iran goods,
services, or technology related to weapons or
missile proliferation may, at the President’s
discretion, be:
Authority To Impose
At the President’s
discretion
Authority To Lift or Waive
President may choose to not impose
sanctions, but must justify to Committees on
Foreign Affairs and Foreign Relations (Sec. 4).
President may choose to not impose
sanctions if he finds:
—denied entering into procurement contracts
with the U.S. government;
—targeted person did not knowingly engage in
objectionable transaction;
—prohibited transactions relating to import
into the United States;
—transaction did not materially contribute to
proliferation;
—prohibited arms sales from the United States
of USML articles and services;
—government of jurisdiction adheres to
relevant nonproliferation regime; or
—denied export licenses for items controlled
under the Export Administration Act of 1979 or
Export Administration Regulations.
—government of jurisdiction “has imposed
meaningful penalties” (Sec. 5(a)).
TRADE SANCTIONS REFORM AND EXPORT ENHANCEMENT ACT OF 2000 (TSRA)
(Title IX of P.L. 106-387 (Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2001); 22 U.S.C. 7201 et seq.; as
amended)
Sec. 906 (22 U.S.C.
7205)
Anti-terrorism
Requires export licenses for agricultural
commodities, medicines, medical devices to any
government designated as a state sponsor of
acts of international terrorism.
Statutory requirement
No waiver; the executive branch (primarily
Departments of Commerce, for exportation,
and Treasury for related transactions) may
issue export licenses limited to a 12-month
duration but there is no limit on the number
or nature of licenses generally.
Sec. 908 (22 U.S.C.
7207)
Anti-terrorism
Prohibits U.S. assistance—foreign aid, export
assistance, credits, guarantees—for commercial
exports to Iran.
Statutory requirement
President may waive if “it is in the national
security interest of the United States to do
so, or for humanitarian reasons.”
CRS-12
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
IRAN NUCLEAR PROLIFERATION PREVENTION ACT OF 2002 (INPPA)
(Subtitle D of title XIII of P.L. 107-228 (Foreign Relations Authorization Act for Fiscal Year 2003))
Sec. 1343(b) (22
U.S.C. 2027(b))
CRS-1312
Nonproliferation
Requires the U.S. representative to the IAEA to
oppose programs that are “inconsistent with
nuclear nonproliferation and safety goals of the
United States.”
Discretionary, based on
findings of the Secretary
of State
No waiver; however, “nay” votes are based
on the Secretary of State’s annual review of
IAEA programs and determinations.
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
United States.”
IRAN FREEDOM SUPPORT ACT (IFSA)
(P.L. 109-293; 50 U.S.C. 1701 note)
Sec. 101
Democracy
promotion
General foreign
policy reasons
Makes permanent the restrictions the President
imposed under IEEPA/NEA authorities in
Executive Order 12957, which:
Statutory requirement
—prohibits any U.S. person from entering into a
contract or financing or guaranteeing
performance under a contract relating to
petroleum resource development in Iran;
President may terminate the sanctions if he
notifies Congress 15 days in advance, unless
“exigent circumstances” warrant terminating
the restrictions without notice, in which case
Congress shall be notified within 3 days after
termination.
and Executive Order 12959, which:
—prohibits any U.S. person from investing in
Iran;
and Executive Order 13059, which:
—prohibits any U.S. person from exporting
where the end-user is Iran or the Government
of Iran;
—prohibits any U.S. person from investing in
Iran;
—prohibits any U.S. person from engaging in
transactions or financing related to Iran-origin
goods or services.
COMPREHENSIVE IRAN SANCTIONS, ACCOUNTABILITY, AND DIVESTMENT ACT OF 2010 (CISADA)
(P.L. 111-195; 22 U.S.C. 8501 et seq.; as amended)
Sec. 103(b)(1) and (2)
(22 U.S.C. 8512)
Nonproliferation
Human rights
Anti-terrorism
Prohibits most imports into the United States of
goods of Iranian origin.
Prohibits a U.S. person from exporting most
U.S.-origin goods, services, or technology to
Iran.
Statutory requirement
Allows imports, exports, food, medicine, and
humanitarian aid as covered by IEEPA and
TSRA.
President may allow exports if he determines
to do so is in the national interest.
Most of CISADA, including sanctions under
this section, ceases to be effective when
CRS-14
CRS-13
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of
weapons of mass destruction (WMD) (Sec.
401; 22 U.S.C. 8551).
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b)).
Sec. 103(b)(3) (22
U.S.C. 8512)
Nonproliferation
Human rights
Freezes assets of individual, family member, or
associates acting on behalf of individual, in
compliance with IEEPA authorities.
President determines
President’s discretion.
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
Anti-terrorism
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b)).
Sec. 104(c) (22 U.S.C.
8513(c))
Anti-money
laundering
Anti-terrorism
(financing)
Nonproliferation
Imposes IEEPA-authorized economic
restrictions, to be issued by Secretary of the
Treasury in new regulations and prohibits U.S.
banks opening or maintaining correspondent or
payable-through accounts for any foreign
financial institution that:
—facilitates Iran’s acquisition of WMD;
—facilitates Iran’s support of foreign terrorist
organizations (FTO);
—facilitates activities of persons subject to U.N.
Security Council sanctions;
—engages in money laundering;
—facilitates Iran’s Central Bank or other
financial institution in objectionable activities; or
—facilitates transactions of IRGC or others
under IEEPA sanctions.
CRS-15
CRS-14
Statutory requirement
Secretary of the Treasury may waive if he
finds it “necessary to the national interest” to
do so (subsec. (f)).
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
Requires Secretary of the
Treasury determination
Secretary of the Treasury may waive if he
finds it “necessary to the national interest” to
do so (subsec. (f)).
under IEEPA sanctions.
Sec. 104(c)(4) (22
U.S.C. 8513(c)(4))
Sec. 104(c)(4) (22
U.S.C. 8513(c)(4))
Rationale
Anti-money
laundering
Anti-terrorism
(financing)
Nonproliferation
Restriction
Authority To Impose
Authority To Lift or Waive
Subjects National Iranian Oil Company (NIOC)
and National Iranian Tanker Company (NITC)
to IEEPA-authorized economic restrictions,
promulgated by the Secretary of the Treasury
under Sec. 104(c) (above) if found to be
affiliated with the Iranian Revolutionary Guard
Corps (IRGC).
Requires Secretary of the
Treasury determination
Secretary of the Treasury may waive if he
finds it “necessary to the national interest” to
do so (subsec. (f)).
If the country of primary jurisdiction is
exempted under Sec. 1245, National Defense
Authorization Act, 2012 (NDAA’12), that
exemption extends to financial entities
engaged in transactions with NIOC and NITC
(Sec. 104(c)(4)(C)).
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
Sec. 104A (22 U.S.C.
8513A)
Anti-money
laundering
Anti-terrorism
(financing)
Expands restriction established in Sec. 104
(above) to also apply to any foreign financial
institution that facilitates, participates, or assists
in activities identified in Sec. 104(c).
Requires Secretary of the
Treasury to issue new
regulations
Imposes sanctions on individuals the President
identifies as responsible for or complicit in the
human rights crackdown around the 2009
national election.
Statutory requirement of
the President
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
Nonproliferation
Sec. 105 (22 U.S.C.
8514)
Human rights
Sanctions include visa ineligibility and IEEPArelated economic restrictions.
CRS-15
Secretary of the Treasury may waive if he
finds it “necessary to the national interest” to
do so (subsec. (f)).
President may terminate sanctions when he
determines and certifies that the government
of Iran has released political prisoners
detained around the June 2009 election;
ceased related objectionable activities;
investigated related killings, arrests, and
abuses; and made public commitment to
establishing an independent judiciary and
upholding international human rights
standards.
Most of CISADA, including sanctions under
CRS-16
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b)).
Sec. 105A (22 U.S.C.
8514A)
Human rights
Imposes sanctions on any individual the
President identifies as providing goods or
technology to the government of Iran to
facilitate human rights abuses, including
“sensitive technology.” Includes making such
materials available to the IRGC.
Statutory requirement of
the President
President may terminate sanctions when he
determines an individual has taken steps
toward stopping objectionable activity, and
will not reengage.
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
Sanctions include visa ineligibility and IEEPArelated economic restrictions.
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b)).
Sec. 105B (22 U.S.C.
8514B)
Human rights
(freedom of
expression and
assembly)
Imposes sanctions on any individual the
President identifies as engaging in censorship or
limiting the freedom of assembly.
Statutory requirement of
the President
Sanctions include visa ineligibility and IEEPArelated economic restrictions.
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b)).
Sec. 105C (22 U.S.C.
8514C)
Human rights
(diversion of food
and medicine)
Imposes sanctions on any individual the
President identifies as diverting food and
medicine from reaching the Iranian people.
Sanctions include visa ineligibility and IEEPArelated economic restrictions.
CRS-16
Statutory requirement of
the President
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
President may waive if he finds it “in the
CRS-17
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b)).
Sec. 106 (22 U.S.C.
8515)
Human rights
(freedom of
expression and
assembly)
Prohibits entering into procurement contracts
with any individual the President identifies as
exporting sensitive technology to Iran.
Statutory requirement of
the President
President may exempt some products defined
in specific trade laws and IEEPA.
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
Sec. 412, Iran Threat Reduction and Syria
Human Rights Act (ITRSHRA), further defines
“sensitive technology.”
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b)).
Sec. 108 (22 U.S.C.
8516)
International
obligations
President may issue any regulations to comply
with U.N. Security Council resolutions.
Discretion of the
President
Discretion of the President.
Sec. 303 (22 U.S.C.
8543)
Export controls
(nonproliferation;
anti-terrorism)
President may identify and designate a country
as a “Destination of Division Concern” if he
finds it diverts export-controlled goods and
technology to Iran that would materially
contribute to that state’s development of
WMD, delivery systems, and international
terrorism.
Discretion of the
President
President terminates designation—and
ensuing trade restrictions—on determining
that country “has adequately strengthened
the export control system.”
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
Most of CISADA, including sanctions under
this section, ceases to be effective when
President removes Iran’s designation as a
sponsor of acts of international terrorism and
that country has ceased its pursuit of WMD
(Sec. 401; 22 U.S.C. 8551).
President may delay or deny export licenses.
NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR 2012 (NDAA 2012)
(Sec. 1245 of P.L. 112-81; 22 U.S.C. 8513a; as amended)
Sec. 1245
CRS-1817
Anti-money
laundering
Designates Iran’s financial sector, including its
Central Bank, as a “primary money laundering
concern.”
Statutory requirement
President may delay imposition of sanctions if
government of primary jurisdiction reduces
its crude oil purchases from Iran. Renewable
Statutory Basis
Rationale
laundering
Restriction
concern.”
—Requires the President to block and prohibit
all transactions of any Iranian financial institution
under U.S. jurisdiction.
—Requires the President to prohibit opening of
correspondent and payable-through accounts
for any institution that conducts transactions for
the Central Bank of Iran.
—Authorizes the President to impose IEEPAbased sanctions.
Authority To Impose
Authority To Lift or Waive
its crude oil purchases from Iran. Renewable
every 180 days.
President may waive imposition if he finds it
“in the national security interest of the United
States” to do so.
Sanctions under this section cease to be
effective 30 days after President certifies and
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785) (Sec. 1245(i)).
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
1245 for foreign financial institutions under
the primary jurisdiction of China, India, Japan,
South Korea, the authorities on Taiwan, and
Turkey, subject to conditions. Also waived for
“foreign financial institutions under the
primary jurisdiction of Switzerland that are
notified directly in writing by the U.S.
Government, to the extent necessary for
such foreign financial institutions to engage in
financial transactions with the Central Bank of
Iran in connection with the repatriation of
revenues and the establishment of a financial
channel as specifically provided for in the Joint
Plan of Action of November 24, 2013.”
Extended in Guidance of July 21, 2014 (79
F.R. 45233). Further extended in Guidance
of November 25, 2014 (79 F.R. 73141). See
also State Department Public Notice
8985 of December 10, 2014 (79 F.R.
78551).
State Department Public Notice 8594
of January 15, 2014 (79 F.R. 2746), the
CRS-18
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
Secretary of State determined, that as of
November 29, 2013, India, Malaysia, China,
South Korea, Singapore, South Africa, Sri
Lanka, Taiwan, and Turkey are exempted
CRS-19
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
from restriction for Iran oil trade. Supersedes
a similar determination of June 5, 2013. State
Department Public Notice 8963 of
November 28, 2014 (79 F.R. 72054)
extended for Malaysia, Singapore, and South
Africa. Supersedes a similar determination in
Public Notice 8753 of May 27, 2014 (79 F.R.
32011).
State Department Public Notice 8678
of March 25, 2014 (79 F.R. 18382), the
Secretary of State determined, that as of
March 4, 2014, Belgium, the Czech Republic,
France, Germany, Greece, Italy, Netherlands,
Poland, Spain, and the United Kingdom are
exempted from restriction for Iran oil trade.
Extended for these “EU10” by Public
Notice 8865 of August 29, 2014 (79 F.R.
54342).
IRAN THREAT REDUCTION AND SYRIA HUMAN RIGHTS ACT OF 2012 (ITRSHRA)
(P.L. 112-158; 22 U.S.C. 8701 et seq.)
Sec. 211 (22 U.S.C.
8721)
Sec. 212 (22 U.S.C.
8722)
CRS-2019
Nonproliferation
Anti-terrorism
Nonproliferation
Anti-terrorism
President imposes IEEPA-based sanctions on any
person he determines has engaged in
transactions relating to providing a vessel or
insuring a shipping service that materially
contributes to the government of Iran’s
proliferation activities.
Statutory requirement
President imposes IEEPA- and Iran Sanctions
Act- (ISA) based sanctions (see above) on any
person he determines has provided
underwriting services or insurance for NIOC or
NITC.
Statutory requirement
President may waive imposition if he finds it
“vital to the national security interests of the
United States” to do so.
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
President may terminate if objectionable
Statutory Basis
8722)
Rationale
Anti-terrorism
Sec. 213 (22 U.S.C.
8723)
Nonproliferation
Sec. 217 (22 U.S.C.
8724)
Nonproliferation
Anti-terrorism
Anti-terrorism
Restriction
Authority To Impose
Act- (ISA) based sanctions (see above) on any
person he determines has provided
underwriting services or insurance for NIOC or
NITC.
Authority To Lift or Waive
activity has ceased.
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
Sec. 213 (22 U.S.C.
8723)
Nonproliferation
Sec. 217 (22 U.S.C.
8724)
Nonproliferation
Anti-terrorism
Anti-terrorism
President imposes IEEPA- and ISA-based
sanctions (see above) on any person he
determines has engaged in transactions relating
to Iran’s sovereign debt.
Statutory requirement
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
Requires President to certify that the Central
Bank of Iran is not engaging in activities related
to WMD or terrorism before he lifts IEEPAbased sanctions imposed pursuant to E.O.
13599 (see Table 2).
Statutory requirement
President may still lift sanctions, but is slowed
in doing so and must certify on new
conditions relating to terrorism and
proliferation.
Extends IEEPA-based sanctions imposed on
parent companies to their foreign subsidiaries,
to prohibit transactions with the government of
Iran.
Statutory requirement
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
President may impose IEEPA-based sanctions on
financial messaging services that facilitate
transactions for the Central Bank of Iran or
other restricted financial institutions.
At the President’s
discretion
President’s discretion.
Requires President to certify that sanctions
evaders are engaged in activities related to
WMD or terrorism before he lifts IEEPA-based
sanctions imposed pursuant to E.O. 13608 (see
Table 2).
Sec. 218 (22 U.S.C.
8725)
Nonproliferation
Sec. 220(c) (22 U.S.C.
8726(c))
Nonproliferation
CRS-2120
Anti-terrorism
Anti-terrorism
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
U.S.C. 8785).
Sec. 221 (22 U.S.C.
8727)
Nonproliferation
Anti-terrorism
Human rights
Sec. 301 (22 U.S.C.
8741)
Sec. 302 (22 U.S.C.
8742)
National security
Nonproliferation
National security
Nonproliferation
Statutory Basis
Rationale
Restriction
Authority To Impose
other restricted financial institutions.
Sec. 221 (22 U.S.C.
8727)
Nonproliferation
Anti-terrorism
Human rights
Sec. 301 (22 U.S.C.
8741)
Sec. 302 (22 U.S.C.
8742)
National security
Nonproliferation
National security
Nonproliferation
CRS-21
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
Requires the President to identify senior Iranian
government officials involved in proliferation,
support of terrorism, or human rights
violations. Requires the Secretaries of State and
Homeland Security to, respectively, deny
identified persons and their family members
visas and entry into the United States.
Statutory requirement
Requires the President to identify members,
agents, and affiliates of the IRGC and impose
IEEPA-based sanctions. Requires the Secretaries
of State and Homeland Security to, respectively,
deny identified persons and their family
members visas and entry into the United States.
Statutory requirement
Requires the President to identify those who
materially engage in support or transactions
with the IRGC or related entities subject to
IEEPA-based sanctions. Further requires the
President to impose ISA-based sanctions on and
additional IEEPA-based sanctions on those he
identifies.
Statutory requirement
President is not required to publicly identify
such individual if “doing so would cause damage
to the national security of the United States.”
CRS-22Authority To Lift or Waive
President may waive if he finds it “essential to
the national interests of the United States”
and notifies Congress in advance.
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
President may waive if he finds it “vital to the
national security interests of the United
States to do so.”
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
President may terminate when he determines
objectionable activities have ceased.
President may waive if activities have ceased
or if “it is essential to the national security
interests of the United States to do so.”
President may forego imposing sanctions if
similar exception has been made under Sec.
104(c) of CISADA (see above).
Most of ITR, including sanctions under this
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
302(e) as it would “cause damage to the
national security of the United States to
identify or designate a foreign person” in
connection with transactions by non-U.S.
persons engaged in trade in oil to China,
India, Japan, South Korea, Taiwan, and
Turkey, with conditions. Extended in
Guidance of July 21, 2014 (79 F.R. 45233).
Further extended in Guidance of
November 25, 2014 (79 F.R. 73141).
Sec. 303 (22 U.S.C.
8743)
Nonproliferation
United Nations
compliance
President is required to identify any agency of a
foreign country that materially assists or
engages in transactions with IRGC or any entity
subject to U.N. Security Council sanctions.
Statutory requirement;
however, President
selects specific actions
President may cut off most foreign aid, deny
arms sales and transfers, deny export licenses,
require opposition to loans to that foreign
country in the international financial institutions,
deny USG financial assistance, or impose other
IEEPA-based sanctions.
Sec. 411 (22 U.S.C.
8751)
Human rights
Nonproliferation
Anti-terrorism
CRS-23CRS-22
Human rights
Requires the President to maintain IEEPA-based
sanctions pursuant to E.O. 13606 (see Table 2)
until he certifies Iran has ceased its support of
international terrorism and pursuit of weapons
proliferation, under Sec. 401, CISADA (see
above).
President may terminate if objectionable
activities have ceased, or if “it is essential to
the national security interests of the United
States to terminate such measures.”
President may waive imposition of any
measure if he explains his decision to
Congress (and justification may be subsequent
to action taken).
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
Statutory requirement
President’s determination.
Statutory Basis
Rationale
Nonproliferation
Anti-terrorism
Sec. 501 (22 U.S.C.
8771)
Rationale
Nonproliferation
RestrictionNonproliferation
Restriction
Authority To Impose
Authority To Lift or Waive
until he certifies Iran has ceased its support of
international terrorism and pursuit of weapons
proliferation, under Sec. 401, CISADA (see
above).
Requires the Secretaries of State and Homeland
Security to, respectively, deny visas and entry
into the United States to Iranian citizens who
seek education in the United States related to
energy, nuclear science, or nuclear engineering.
Authority To Impose
Statutory requirement
Authority To Lift or Waive
Statutory requirement
Most of ITR, including sanctions under this
section, ceases to be effective when President
removes Iran’s designation as a sponsor of
acts of international terrorism and that
country has ceased its pursuit of WMD (Sec.
401, CISADA; 22 U.S.C. 8551) (Sec. 605; 22
U.S.C. 8785).
IRAN FREEDOM AND COUNTER-PROLIFERATION ACT OF 2012 (IFCA)
(Title XII, subtitle D, of National Defense Authorization Act for Fiscal Year 2013; NDAA 2013; P.L. 112-239; 22 U.S.C. 8801 et seq.)
Sec. 1244 (22 U.S.C.
8803)
Nonproliferation
Designates entities that operate Iran’s ports,
and entities in energy, shipping, and shipbuilding,
including NITC, IRISL, and NIOC, and their
affiliates, as “entities of proliferation concern.”
Requires the President to block transactions
and interests in property under U.S. jurisdiction
of such entities.
Requires the President to impose ISA-based
sanctions on any person who knowingly engages
in trade related to energy, shipping, or
shipbuilding sectors of Iran.
Statutory requirement
Humanitarian-related transactions are
exempted.
President may exempt transactions related to
Afghanistan reconstruction and development,
if he determines it in the national interest to
do so.
President may exempt application to those
countries exempted from NDAA’12
requirements (see above).
Some aspects of trade in natural gas are
exempted.
President may waive for 180 days if he finds it
“vital to the national security of the United
States” to do so.
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
1244(c)(1) for
—Transactions by non-U.S. persons for the
export from Iran of petrochemical products
CRS-23
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
and associated services, with exceptions;
—Transactions by U.S. or non-U.S. persons
for the supply and installation of spare parts
necessary for the safety of flight for Iranian
CRS-24
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
civil aviation, with exceptions;
—Transactions by non-U.S. persons for Iran
oil exports to China, India, Japan, South
Korea, Taiwan, and Turkey, with exceptions;
and
—Transactions by non-U.S. persons for the
sale, supply or transfer to or from Iran of
precious metals, with exceptions.
The above is extended in Guidance of July
21, 2014 (79 F.R. 45233). Further extended
in Guidance of November 25, 2014 (79
F.R. 73141). See also State Department
Public Notice 8985 of December 10,
2014 (79 F.R. 78551).
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
1244(d) for
—Transactions by non-U.S. persons in
connection with Iran oil exports to China,
India, Japan, South Korea, Taiwan, and
Turkey, and for insurance and transportation
services, with exceptions.
The above is extended in Guidance of July
21, 2014 (79 F.R. 45233). Further extended
in Guidance of November 25, 2014 (79
F.R. 73141).
State Department Public Notice 8632
of February 10, 2014 (79 F.R. 9030) waives
secsSecs. 1244(i), 1245(g), 1246(e), and 1247(f)
CRS-24
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
for certain transactions related to Islamic
Republic of Iran Broadcasting (IRIB). See also
State Department Public Notice 8855
of August 22, 2014 (79 F.R. 51390).
State Department Public Notice 8809
of July 28, 2014 (79 F.R. 45228) waives Sec.
CRS-25
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
1244(c), (d), Sec. 1245(a), (c), Sec. 1246, and
Sec. 1247(a) for certain transactions.
Sec. 1245 (22 U.S.C.
8804)
Nonproliferation
Requires the President to impose ISA-based
sanctions on any person who knowingly engages
in trade related to precious metal, or material
used in energy, shipping, or shipbuilding, if
controlled by IRGC or other sanctioned entity.
Statutory requirement
President may exempt those he determines
are exercising “due diligence” to comply with
restrictions.
President may waive for 180 days, and may
renew that waiver in 6-month increments, if
he finds it “vital to the national security of the
United States” to do so.
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
1245(a)(1)(A), 1245(c), for
—Transactions by non-U.S. persons related
to precious metals, with exceptions.
The above is extended in Guidance of July
21, 2014 (79 F.R. 45233). Further extended
in Guidance of November 25, 2014 (79
F.R. 73141). See also State Department
Public Notice 8985 of December 10,
2014 (79 F.R. 78551).
State Department Public Notice 8632
of February 10, 2014 (79 F.R. 9030) waives
secsSecs. 1244(i), 1245(g), 1246(e), and 1247(f)
for certain transactions related to Islamic
Republic of Iran Broadcasting (IRIB). See also
State Department Public Notice 8855
of August 22, 2014 (79 F.R. 51390).
CRS-25
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
State Department Public Notice 8809
of July 28, 2014 (79 F.R. 45228) waives Sec.
1244(c), (d), Sec. 1245(a), (c), Sec. 1246, and
Sec. 1247(a) for certain transactions.
Sec. 1246 (22 U.S.C.
8805)
CRS-26
Nonproliferation
Requires the President to impose ISA-based
sanctions on any person who knowingly
provides underwriting or insurance services to
any sanctioned entity with respect to Iran.
Statutory requirement
Humanitarian-related transactions are
exempted.
President may exempt those he determines
are exercising “due diligence” to comply with
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
restrictions.
President may waive for 180 days, and may
renew that waiver in 6-month increments, if
he finds it “vital to the national security of the
United States” to do so.
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
1246(a) for
—Transactions by non-U.S. persons related
to oil exports to China, India, Japan, South
Korea, Taiwan, and Turkey, with exceptions;
—Transactions by non-U.S. persons in
connection with export of Iran petrochemical
products, with exceptions;
—Transactions by non-U.S. persons in
connection with trade in precious metals,
with exceptions;
—Transactions by non-U.S. persons in
connection with Iran’s automotive sector,
with exceptions; and
—Transactions by U.S. and non-U.S. persons
related to civil aviation, with exceptions.
The above is extended in Guidance of July
21, 2014 (79 F.R. 45233). Further extended
in Guidance of November 25, 2014 (79
F.R. 73141
CRS-26
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
in Guidance of November 25, 2014 (79
F.R. 73141). See also State Department
Public Notice 8985 of December 10,
2014 (79 F.R. 78551).
State Department Public Notice 8632
of February 10, 2014 (79 F.R. 9030) waives
secsSecs. 1244(i), 1245(g), 1246(e), and 1247(f)
for certain transactions related to Islamic
Republic of Iran Broadcasting (IRIB). See also
State Department Public Notice 8855
CRS-27
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
of August 22, 2014 (79 F.R. 51390).
State Department Public Notice 8809
of July 28, 2014 (79 F.R. 45228) waives Sec.
1244(c), (d), Sec. 1245(a), (c), Sec. 1246, and
Sec. 1247(a) for certain transactions.
Sec. 1247 (22 U.S.C.
8806)
Nonproliferation
Requires the President to prohibit any
correspondent or payable-through account by a
foreign financial institution that is found to
facilitate a “significant financial transaction” on
behalf of any Iranian Specially Designated
National (SDN).
Statutory requirement
Humanitarian-related transactions are
exempted.
President may exempt application to those
countries exempted from NDAA’12
requirements (see above).
President may waive for 180 days, and may
renew that waiver in 6-month increments, if
he finds it “vital to the national security of the
United States” to do so.
State Department Public Notice 8610
of January 22, 2014 (79 F.R. 4522)
(Guidance of January 20, 2014) waives Sec.
1247(a) for
—Transactions by foreign financial institutions
related to oil exports to China, India, Japan,
South Korea, Taiwan, and Turkey;
—Transactions by foreign financial institutions
related to export of petrochemical products,
with exceptions;
CRS-27
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive
—Transactions of foreign financial institutions
related to trade in precious metals, with
exceptions; and
—Transactions of foreign financial institutions
related to civil aviation, with exceptions.
The above is extended in Guidance of July
21, 2014 (79 F.R. 45233). Further extended
in Guidance of November 25, 2014 (79
F.R. 73141).
CRS-28
Statutory Basis
Rationale
Restriction
Authority To Impose
Authority To Lift or Waive See also State Department
Public Notice 8985 of December 10,
2014 (79 F.R. 78551).
State Department Public Notice 8632
of February 10, 2014 (79 F.R. 9030) waives
secsSecs. 1244(i), 1245(g), 1246(e), and 1247(f)
for certain transactions related to Islamic
Republic of Iran Broadcasting (IRIB). See also
State Department Public Notice 8855
of August 22, 2014 (79 F.R. 51390).
State Department Public Notice 8809
of July 28, 2014 (79 F.R. 45228) waives Sec.
1244(c), (d), Sec. 1245(a), (c), Sec. 1246, and
Sec. 1247(a) for certain transactions.
Sec. 1248 (22 U.S.C.
8807)
CRS-28
Human rights
Requires the President to apply Sec. 105(c),
CISADA-based sanctions (see above) to the
Islamic Republic of Iran Broadcasting and the
President of that entity, and to add this entity
and individual to the SDN list.
Statutory requirement
President may waive if he finds it “in the
national interest” to do so (Sec. 401(b),
CISADA).
President may terminate sanctions when he
determines and certifies that the government
of Iran has released political prisoners
detained around the June 2009 election;
ceased related objectionable activities;
investigated related killings, arrests, and
abuses; and made public commitment to
establishing an independent judiciary and
upholding international human rights
standards (Sec. 105(d), CISADA).
Notes: AECA = Arms Export Control Act; CISADA = Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010; DNI = Director of National
Intelligence; E.O. = Executive Order; FTO = Foreign Terrorist Organization; IAEA = International Atomic Energy Agency; IEEPA = International Emergency Economic
Powers Act; IFI = International Financial Institution; IFSA = Iran Freedom Support Act; IIANA = Iran-Iraq Arms Non-Proliferation Act of 1992; INA = Immigration and
Nationality Act of 1952; INKSA = Iran, North Korea, Syria Nonproliferation Act; IRGC = Iranian Revolutionary Guard Corps; ISA = Iran Sanctions Act of 1996;
ITRSHRA = Iran Threat Reduction and Syria Human Rights Act of 2012; NDAA = National Defense Authorization Act; NEA = National Emergencies Act; NICO =
Naftiran Intertrade Company; NIOC = National Iranian Oil Company; NITC = National Iranian Tanker Company; SDN = Specially Designated National; TSRA = Trade
Sanctions Reform Act of 2000; UNICEF = U.N. Children’s Fund; UNPA = United Nations Participation Act of 1945; UNSC = United Nations Security Council; USC =
United States Code; USML = United States Munitions List; USTR = U.S. Trade Representative; WMD = Weapons of Mass Destruction.
CRS-29
Table 2. Executive Orders Issued to Meet Statutory Requirements To Impose Economic Sanctions on Iran
Executive Order
E.O. 12170
Underlying
Statute
IEEPA / NEA
(November 14, 1979)
Restriction
Declares a national emergency exists relating to 1979 events in
Iran; blocks Iranian government property subject to U.S.
jurisdiction.
Authority To Lift or Waive
President
Secretary of the Treasury administers.
E.O. 12938
IEEPA / NEA
(November 14, 1994)
AECA
(also invoked in
Sec. 3(b)(1),
INKSA)
Declares a national emergency exists relating to the proliferation of
weapons of mass destruction and the means of delivery. Succeeds
and replaces similar authorities of 1990 and 1994. Establishes
export controls, sanctions affecting foreign aid, procurement,
imports, on proliferators. Establishes sanctions—affecting
foreign aid, IFI support, credits, arms sales, exports, imports,
landing rights—targeting foreign countries that produce or
use chemical or biological weapons.
President
Secretaries of State, Commerce, Defense, and the Treasury
administer.
E.O. 12957
IEEPA / NEA
(March 15, 1995)
Declares a national emergency exists relating to Iran’s proliferation
activities; prohibits persons under U.S. jurisdiction from
entering into certain transactions with respect to Iranian
petroleum resources.
President
Sec. 101(a), IFSA, codifies this EO. The President must notify
Congress 15 days in advance of its termination, unless exigent
circumstances justify acting first.
Secretaries of the Treasury and State administer.
E.O. 12959
IEEPA / NEA
(May 6, 1995)
ISDC ‘85
Expands national emergency set forth in E.O. 12957; prohibits
entering into new investment.
Secretaries of the Treasury and State administer.
E.O. 13059
IEEPA / NEA
(August 19, 1997)
ISDC ‘85
Clarifies steps taken in E.O. 12957 and E.O. 12959; prohibits
most imports from Iran, exports to Iran, new investment,
transactions relating to Iran-origin goods regardless of their
location
President
Sec. 101(a), IFSA, codifies this EO. The President must notify
Congress 15 days in advance of its termination, unless exigent
circumstances justify acting first.
President
Sec. 101(a), IFSA, codifies this EO. The President must notify
Congress 15 days in advance of its termination, unless exigent
circumstances justify acting first.
Secretaries of the Treasury and State administer.
E.O. 13224
IEEPA / NEA
(September 23, 2001)
UNPA’45
(also invoked in
CRS-30
Declares a national emergency exists relating to international
terrorism, in the aftermath of events of September 11, 2001;
blocks property and prohibits transactions with persons who
commit, threaten to commit, or support terrorism.
President
Executive Order
Underlying
Statute
Sec. 211,
ITRSHRA)
Restriction
Authority To Lift or Waive
Generates a list of designated individuals who are
incorporated into the Specially Designated Nationals (SDN)
list.
Secretaries of the Treasury, State, Homeland Security, and
the Attorney General administer.
E.O. 13382
IEEPA / NEA
(June 28, 2005)
(also invoked in
Sec. 211,
ITRSHRA)
Expands national emergency set forth in E.O. 12938; blocks
property of WMD proliferators and their supporters.
Secretaries of State, the Treasury, and the Attorney General
administer.
President
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under section 1(a)(iii) of
E.O. 13382 ... with respect to persons” who facilitate
certain activities related to safety of Iran’s civil aviation
industry. Extended in Guidance of July 21, 2014 (79 F.R.
45233). Further extended in Guidance of November 25,
2014 (79 F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under section 1(a)(iii) of
E.O. 13382...with respect to non-U.S. persons” who facilitate
export of petroleum and related products from Iran to China,
India, Japan, South Korea, Taiwan, or Turkey. Extended in
Guidance of July 21, 2014 (79 F.R. 45233). Further
extended in Guidance of November 25, 2014 (79 F.R.
73141).
E.O. 13438
IEEPA / NEA
(July 17, 2007)
Expands national emergency relating to events in Iraq and set
forth in E.O. 13303, May 22, 2003; blocks property of certain
persons who threaten stabilization efforts in Iraq.
President
Secretaries of the Treasury, State, and Defense administer.
E.O. 13553
IEEPA / NEA
(September 28, 2010)
CISADA
Expands national emergency set forth in E.O. 12957; blocks
property of certain persons with respect to human rights
abuses by the government of Iran. Generates a list of
designated individuals for whom property under U.S.
jurisdiction is blocked. Imposes sanctions on those who enter
into transactions with designated individuals.
This is the initial implementation of requirements under
CISADA.
Secretaries of the Treasury and State administer.
CRS-31
President
Executive Order
Underlying
Statute
E.O. 13574
IEEPA / NEA
(May 23, 2011)
ISA ‘96
CISADA
Restriction
Expands national emergency set forth in E.O. 12957;
implements new sanctions added to ISA. Prohibits U.S.
financial institutions from making loans or credits, or engaging
in foreign exchange transactions. Prohibits imports from, and
blocks property of, a sanctioned person.
Authority To Lift or Waive
President
The President, and Secretaries of the Treasury and State,
administer.
E.O. 13590
IEEPA / NEA
(November 20, 2011)
Expands national emergency set forth in E.O. 12957; blocks
property of those who trade in goods, services, technology,
or support for Iran’s energy and petrochemical sectors.
Prohibits Ex-Im Bank from entering into transactions with
sanctioned person. Requires Federal Reserve to deny goods
and services. Prohibits U.S. financial institutions from making
most loans or credits.
President
Secretaries of State, the Treasury, and Commerce, the U.S.
Trade Representative (USTR), Chairman of Federal Reserve
Board, and President of Ex-Im Bank, administer.
E.O. 13599
IEEPA / NEA
(February 5, 2012)
NDAA ‘12
Expands national emergency set forth in E.O. 12957; blocks
property of the government of Iran and Iranian financial
institutions, including the Central Bank of Iran.
Secretaries of the Treasury, State, and Energy, and DNI
administer.
E.O. 13606
IEEPA / NEA
(April 22, 2012)
Expands, in the case of Iran, national emergency set forth in
E.O. 12957; blocks the property and suspends entry into the
United States of persons found to commit human rights
abuses by the governments of Iran and Syria, facilitated misuse
of information technology. Generates new list of SDN.
President
Sec. 217, ITRSHRA, requires the President notify Congress 90
days in advance of termination of this E.O., and certify a
number of objectionable activities have ceased.
President
Sec. 411, ITRSHRA, requires the President notify Congress 30
days in advance of termination of this E.O., and certify a
number of objectionable activities have ceased pursuant to
Sec. 401, CISADA.
Secretaries of the Treasury and State administer.
E.O. 13608
(May 1, 2012)
IEEPA / NEA
Expands, in the case of Iran, national emergency set forth in
E.O. 12957; prohibits transactions with and suspends entry
into the United States of foreign sanctions evaders. Generates
new list of SDN.
Secretaries of the Treasury and State administer.
CRS-32
President
Sec. 217, ITRSHRA, requires the President notify Congress 30
days in advance of termination of this E.O., and certify a
number of objectionable activities have ceased pursuant to
Sec. 401, CISADA.
Executive Order
Underlying
Statute
E.O. 13622
IEEPA / NEA
(July 30, 2012)
NDAA ‘12
Restriction
Expands national emergency set forth in E.O. 12957;
authorizes sanctions on foreign financial institutions that
finance activities with NIOC, NICO. Prohibits correspondent
and payable-through accounts. Prohibits Ex-Im financing,
designation as a primary dealer of U.S. debt instruments,
access to U.S. financial institutions. Blocks property, denies
imports and exports.
The President, and Secretaries of the Treasury, State, and
Commerce, the USTR, Chairman of Federal Reserve Board,
and President of Ex-Im Bank, administer.
Authority To Lift or Waive
President
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose correspondent or payable-through account
sanctions under section 1(a)(i)-(ii) of E.O. 13622 ... with
respect to foreign financial institutions” that facilitate export
of petroleum and related products from Iran to China, India,
Japan, South Korea, Taiwan, or Turkey. Extended in
Guidance of July 21, 2014 (79 F.R. 45233). Further
extended in Guidance of November 25, 2014 (79 F.R.
73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose correspondent or payable-through account
sanctions under section 1(a)(iii) of E.O. 13622...on foreign
financial institutions” that are not otherwise subject to
sanctions. Extended in Guidance of July 21, 2014 (79 F.R.
45233). Further extended in Guidance of November 25,
2014 (79 F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose sanctions under section 2(a)(i) of E.O.
13622...on non-U.S. persons” who engage in transactions
relating to export of petroleum and related products from
Iran to China, India, Japan, South Korea, Taiwan, or Turkey.
Extended in Guidance of July 21, 2014 (79 F.R. 45233).
Further extended in Guidance of November 25, 2014 (79
F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose sanctions under section...2(a)(ii) of E.O.
13622...on non-U.S. persons not otherwise subject to” the
Iran Transactions Sanctions Regime and engage in
petrochemical exports transactions with specific Iranian
entities. Extended in Guidance of July 21, 2014 (79 F.R.
45233). Further extended in Guidance of November 25,
2014 (79 F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under section 5(a) of E.O.
13622...with respect to persons” who facilitate trade in gold
CRS-33
Executive Order
Underlying
Statute
Restriction
Authority To Lift or Waive
and precious metals. Extended in Guidance of July 21,
2014 (79 F.R. 45233). Further extended in Guidance of
November 25, 2014 (79 F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under section 5(a) of E.O.
13622...with respect to non-U.S. persons” who facilitate
export of petroleum and related products from Iran to China,
India, Japan, South Korea, Taiwan, or Turkey. Extended in
Guidance of July 21, 2014 (79 F.R. 45233). Further
extended in Guidance of November 25, 2014 (79 F.R.
73141).
E.O. 13628
IEEPA / NEA
(October 9, 2012)
ISA ‘96
CISADA
ITRSHRA
INA
Expands national emergency set forth in E.O. 12957; primarily
implements ITRSHRA. Further prohibits U.S. financial
institutions from making loans or credits, foreign exchange
transactions, and transfers or credits between financial
institutions. Blocks property of those who deal in equity or
debt instruments of a sanctioned person. Prohibits imports,
exports. Extends sanctions to other officers of sanctioned
entities. Blocks property affiliated with human rights abusers,
including those who limit freedom of expression. Denies
access to certain financing tools, property, and imports, if one
engaged in expansion of Iran’s refined petroleum sector.
Blocks entry into the United States of those who engage in
certain human rights abuses.
President
The President, and Secretaries of the Treasury, State, and
Commerce, the USTR, Chairman of Federal Reserve Board,
and President of Ex-Im Bank, administer.
E.O. 13645
IEEPA / NEA
(June 3, 2013)
CISADA
IFCA
INA
CRS-34
Expands national emergency set forth in E.O. 12957; imposes
restrictions on foreign financial institutions engaged in
transactions relating to, or maintaining accounts dominated
by, Iran’s currency (rial). Prohibits opening or maintaining
U.S.-based payable-through correspondent accounts. Blocks
property under U.S. jurisdiction. Imposes restrictions on
those, including foreign financial institutions, found to be
materially assisting in any way an Iran-related SDN. Imposes
restrictions on those found to engage in transactions related
President
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under section ... 2(a)(i)-(ii)
of E.O. 13645 with respect to persons” who engage in various
transactions related to petrochemical products. Extended in
Guidance of July 21, 2014 (79 F.R. 45233). Further
extended in Guidance of November 25, 2014 (79 F.R.
73141).
Executive Order
Underlying
Statute
Restriction
Authority To Lift or Waive
to Iran’s petroleum or related products. Requires the
Secretary of State to impose restrictions on financing (Federal
Reserve, Ex-Im Bank, commercial banks) on those found to
engage in significant transactions related to Iran’s automotive
sector. Blocks property of those found to have engage in
diversion of goods and services intended for the people of
Iran
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under section...2(a)(i)-(ii)
of E.O. 13645 with respect to persons” who facilitate trade in
gold and precious metals. Extended in Guidance of July 21,
2014 (79 F.R. 45233). Further extended in Guidance of
November 25, 2014 (79 F.R. 73141).
The President, and Secretaries of the Treasury, State,
Homeland Security, and Commerce, the USTR, Chairman of
Federal Reserve Board, and President of Ex-Im Bank,
administer.
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under... section 2(a)(i)-(ii)
of E.O. 13645...with respect to persons” who facilitate certain
activities related to safety of Iran’s civil aviation industry.
Extended in Guidance of July 21, 2014 (79 F.R. 45233).
Further extended in Guidance of November 25, 2014 (79
F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose blocking sanctions under section...2(a)-(ii) of
E.O. 13645...with respect to non-U.S. persons” who facilitate
export of petroleum and related products from Iran to China,
India, Japan, South Korea, Taiwan, or Turkey. Extended in
Guidance of July 21, 2014 (79 F.R. 45233). Further
extended in Guidance of November 25, 2014 (79 F.R.
73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose correspondent or payable-through account
sanctions under section...3(a)(i) of E.O. 13645...on foreign
financial institutions” that are not otherwise subject to
sanctions. Extended in Guidance of July 21, 2014 (79 F.R.
45233). Further extended in Guidance of November 25,
2014 (79 F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose correspondent or payable-through account
sanctions under section 3(a)(i) of E.O. 13645 with respect to
foreign financial institutions” that facilitate trade in gold and
precious metals. Extended in Guidance of July 21, 2014 (79
F.R. 45233). Further extended in Guidance of November
25, 2014 (79 F.R. 73141).
CRS-35
Executive Order
Underlying
Statute
Restriction
Authority To Lift or Waive
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose correspondent or payable-through account
sanctions under section 3(a)(i) of E.O. 13645...on foreign
financial institutions” that facilitate certain activities related to
safety of Iran’s civil aviation industry. Extended in Guidance
of July 21, 2014 (79 F.R. 45233). Further extended in
Guidance of November 25, 2014 (79 F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose correspondent or payable-through account
sanctions under section ...3(a)(i) of E.O. 13645...with respect
to foreign financial institutions” that facilitate export of
petroleum and related products from Iran to China, India,
Japan, South Korea, Taiwan, or Turkey. Extended in
Guidance of July 21, 2014 (79 F.R. 45233). Further
extended in Guidance of November 25, 2014 (79 F.R.
73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose correspondent or payable-through account
sanctions under section...3(a)(ii) of E.O. 13645...on foreign
financial institutions” that engage in sale, supply, or transfer
related to Iran’s automotive sector. Extended in Guidance
of July 21, 2014 (79 F.R. 45233). Further extended in
Guidance of November 25, 2014 (79 F.R. 73141).
Guidance of January 20, 2014 (79 F.R. 5025): “The USG
will not impose sanctions described in section 6 of E.O.
13645” on persons who engage in sale, supply, or transfer
related to Iran’s automotive sector. Extended in Guidance
of July 21, 2014 (79 F.R. 45233). Further extended in
Guidance of November 25, 2014 (79 F.R. 73141).
Guidance of July 21, 2014 (79 F.R. 45233): “The USG will
not impose sanctions described in sections 6 and 7 of E.O.
13645”. Further extended in Guidance of November 25,
2014 (79 F.R. 73141).
CRS-36
Notes: AECA = Arms Export Control Act; CISADA = Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010; DNI = Director of National
Intelligence; E.O. = Executive Order; IEEPA = International Emergency Economic Powers Act; IFI = International Financial Institution; IFCA = Iran Freedom and Counterproliferation Act of 2012; IFSA = Iran Freedom Support Act; INA = Immigration and Nationality Act of 1952; INKSA = Iran, North Korea, Syria Nonproliferation Act;
ISA = Iran Sanctions Act of 1996; ITRSHRA = Iran Threat Reduction and Syria Human Rights Act of 2012; NDAA = National Defense Authorization Act; NEA =
National Emergencies Act; NICO = Naftiran Intertrade Company; NIOC = National Iranian Oil Company; SDN = Specially Designated National; UNPA = United
Nations Participation Act of 1945; USTR = U.S. Trade Representative.
CRS-37
Iran: U.S. Economic Sanctions and the Authority to Lift Restrictions
Author Contact Information
Dianne E. Rennack
Specialist in Foreign Policy Legislation
drennack@crs.loc.gov, 7-7608
Congressional Research Service
38