Resolution 1540 1977-presentation-perkins vienna-8-10-jan2013

UNSCR 1540 Civil Society Forum - Opportunities for EngagementUNSCR 1540 Civil Society Forum - Opportunities for EngagementVienna, Austria, 8-10 January 2013Vienna, Austria, 8-10 January 2013

Hosted by the Federal Ministry for European and International Affairs of Austria, Hosted by the Federal Ministry for European and International Affairs of Austria, in cooperation with the United Nations Office for Disarmament Affairsin cooperation with the United Nations Office for Disarmament Affairs

and organized by the Steering Committee of the Forumand organized by the Steering Committee of the Forum

Resolutions 1540 (2004) and 1977 (2011):Resolutions 1540 (2004) and 1977 (2011):

Objectives, Mandate, Status of Implementation, and Objectives, Mandate, Status of Implementation, and ChallengesChallenges

Resolutions 1540 (2004) and 1977 (2011):Resolutions 1540 (2004) and 1977 (2011):

Objectives, Mandate, Status of Implementation, and Objectives, Mandate, Status of Implementation, and ChallengesChallenges

Dana Perkins, PhDDana Perkins, PhD1540 Committee Expert1540 Committee Expert

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20042004 20052005 20062006 20072007 20082008 20092009 20102010 20112011 20122012 20132013 20142014 20152015

ComprehensiveReview

ComprehensiveReview

NLT Dec 2016

2005 Chair report

First Chair report

Report on compliance with resolution 1540 (2004) requirements



The 2011 review on the implementation of resolution 1540 (2004)

The 2012 review on the implementation of resolution 1540 (2004)

11th POW: 01 June ‘12 - 31 May ‘13

Resolution 1540 (2004) OverviewResolution 1540 (2004) Overview

Adopted on 28 April 2004 under

Chapter VII of the UN Charter

First formal decision ever taken by the

Security Council to address the WMD

proliferation as a global threat to

international peace and security

Imposes far reaching obligations on all

States to take a series of steps to

prevent proliferation of WMDs, their

means of delivery, and related materials

to non-state actors

Action with Respect to Threats To Action with Respect to Threats To

the Peace, Breaches of the Peace, the Peace, Breaches of the Peace,

and Acts of Aggressionand Acts of Aggression

Article 39Article 39The Security Council shall The Security Council shall determine the existence of any determine the existence of any threat to the peace, breach of threat to the peace, breach of the peace, or act of aggression the peace, or act of aggression and shall make and shall make recommendations, or decide recommendations, or decide what measures shall be taken…what measures shall be taken… to maintain or restore international peace and security.

Article 41Article 41The Security Council may decide what measures not involving the use of armed force are to be employed to give effect to its decisions, and it may call upon the Members it may call upon the Members of the United Nations to apply of the United Nations to apply such measuressuch measures…

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Enhance the capacity of all StatesEnhance the capacity of all States to respond effectively to the threats posed

by the proliferation of WMD

Prevent the proliferation of WMDPrevent the proliferation of WMD, their means of delivery and related materials

Fill the existing gapsFill the existing gaps in international law by preventing and deterring any non-

State actor from manufacturing, acquiring, possessing, developing,

transporting, transferring, or using WMD and their means of delivery, in

particular for terrorist purposes

Resolution 1540 (2004) - ObjectivesResolution 1540 (2004) - Objectives

Security Council Meets on Non-Proliferation of Weapons of Mass Destruction UN Photo/Eskinder Debebe, 28 April 2004

National legislation on prohibitions (OP.1 & 2)

Domestic controls and enforcement (OP. 3a & 3b)o Accounting for, securing, physical protection

o Border controls

o Export and trans-shipment controls

Assistance (OP. 7)

Promotion & implementation of multilateral treaties (OP. 8)

Promotion of dialogue & cooperation (OP. 9 & 10)

Reporting (OP. 4)

Resolution 1540 (2004)- HighlightsResolution 1540 (2004)- Highlights

The Committee established pursuant to para. 4 of res. 1540 (2004) is known as thethe 1540 Committee1540 Committee

The 1540 Committee is a subsidiary body of the Security Council

Chair:Chair: ROK; Vice-Chairs:Vice-Chairs: AZE, LUX, & GBR; Members:Members: ARG, AZE, AUS, CHN, FRA, GTM, LUX, MAR,

PAK, ROK, RUS, RWA, TGO, GBR, & USA

Working Groups on Monitoring and National ImplementationMonitoring and National Implementation; AssistanceAssistance; Transparency and Transparency and

Outreach;Outreach; Cooperation with International Organizations including with committees 1267 & 1373 Cooperation with International Organizations including with committees 1267 & 1373

A Senior Political Affairs Officer of the UN Department of Political AffairsUN Department of Political Affairs (DPA)(DPA) serves as Secretary of the

Committee, while the Office for Disarmament AffairsOffice for Disarmament Affairs (UNODA)(UNODA) provides substantive and logistical support

The current Group of ExpertsGroup of Experts was established per resolutions 1977 (2011) and 2055 (2012) “to assist “to assist

the Committee in carrying out its mandate…”the Committee in carrying out its mandate…”

The 1540 CommitteeThe 1540 CommitteeThe 1540 CommitteeThe 1540 Committee

Ambassador Kim Sook1540 Committee Chairman

The 52nd formal meeting of the 1540 Committee,19 December 2012

TheThe 1540 Committee and its Experts 1540 Committee and its Experts

• Receive and examine Receive and examine reports to monitor reports to monitor implementationimplementation

• Promote greater Promote greater awareness of UNSCR awareness of UNSCR 1540, including by 1540, including by outreach and dialogue outreach and dialogue with Member Stateswith Member States

• Facilitate capacity Facilitate capacity building and assistance building and assistance by providing a by providing a “clearing “clearing house”house” function function

http://www.un.org/en/sc/1540http://www.un.org/en/sc/1540

Tools:Tools:

• National matrices• Template for assistance requests• 1540 Committee website

Ways and Means:Ways and Means:

• Cooperation with other organizations• Outreach events• Country visits

The 1540 MatrixThe 1540 Matrix• Information originates primarily from

national reports and is complemented by official government information, including that made available to intergovernmental organizations

• The matrix template has 382 “fields” covering national activities related to the 1540 operative paragraphs

• The national matrices are prepared by

the 1540 Committee

• National matrices are used as a reference tool for facilitating technical assistance and the Committee’s constructive dialogue with States on their implementation of resolution 1540

http://www.un.org/en/sc/1540/national-implementation/1540-matrix/committee-approved-matrices.shtmlhttp://www.un.org/en/sc/1540/national-implementation/1540-matrix/committee-approved-matrices.shtml

• Calls upon all States that have not yet presented a first reporta first report on steps they have taken or intend to take to implement resolution 1540 (2004) to submit such a report to the 1540 Committee without delaywithout delay

• Encourages all States that have submitted such reports to provide, at any time or upon the request of the 1540 Committee, additional additional information on their implementation of resolution 1540 (2004)information on their implementation of resolution 1540 (2004)

• Extends the mandate of the 1540 CommitteeExtends the mandate of the 1540 Committee for a period of two years, with the continued assistance of experts, until 27 April 2008until 27 April 2008

• Invites the 1540 Committee to explore with States and international, explore with States and international, regional and subregional organizations experience-sharing and regional and subregional organizations experience-sharing and lessons learned in the areas covered by resolution 1540 (2004lessons learned in the areas covered by resolution 1540 (2004), and the availability of programsavailability of programs which might facilitate the implementation of resolution 1540 (2004)

Resolution 1673 (2006)- HighlightsResolution 1673 (2006)- Highlights

• Again calls Again calls upon all States that have upon all States that have not yet presented a first report on not yet presented a first report on steps they have taken or intend to steps they have taken or intend to take to implement resolution 1540 take to implement resolution 1540 (2004) to submit such a report to the (2004) to submit such a report to the 1540 Committee without delay1540 Committee without delay

• Encourages Encourages all States that have all States that have submitted such reports to provide, at submitted such reports to provide, at any time or upon the request of the any time or upon the request of the 1540 Committee, additional 1540 Committee, additional information…information…

• Encourages the 1540 Committee to engage actively with States and engage actively with States and relevant international, regional and relevant international, regional and subregional organizations to subregional organizations to promote the sharing of experience promote the sharing of experience and lessons learned… and lessons learned… and to liaise on the availability of programs…availability of programs…

Resolution 1810 (2008)Resolution 1810 (2008)- Highlights, Achievements, & Challenges – (1)- Highlights, Achievements, & Challenges – (1)

List of States yet to submit a first report as at 05 January 2013 1. Cape Verde 2. Central African Republic 3. Chad 4. Comoros 5. DPRK 6. Equatorial Guinea 7. Gambia 8. Guinea 9. Guinea-Bissau 10. Haiti 11. Lesotho 12. Liberia 13. Malawi 14. Mali 15. Mauritania 16. Mozambique 17. Sao Tome and Principe 18. Solomon Islands 19. Somalia 20. South Sudan 21. Swaziland 22. Timor-Leste 23. Zambia 24. Zimbabwe

List of States yet to submit a first report as at 05 January 2013 1. Cape Verde 2. Central African Republic 3. Chad 4. Comoros 5. DPRK 6. Equatorial Guinea 7. Gambia 8. Guinea 9. Guinea-Bissau 10. Haiti 11. Lesotho 12. Liberia 13. Malawi 14. Mali 15. Mauritania 16. Mozambique 17. Sao Tome and Principe 18. Solomon Islands 19. Somalia 20. South Sudan 21. Swaziland 22. Timor-Leste 23. Zambia 24. Zimbabwe

Resolution 1810 (2008)Resolution 1810 (2008)- Highlights, Achievements, & Challenges – (2)- Highlights, Achievements, & Challenges – (2)

• Encourages all States to prepare on a prepare on a voluntary basis summary action plansvoluntary basis summary action plans, with the assistance of the 1540 Committee as appropriate…

• Requests the 1540 Committee to continue to organize and participate in outreach organize and participate in outreach eventsevents at the regional, subregional and, as appropriate, national level promoting States’ implementation of resolution 1540 (2004)

• Extended the mandate of the 1540 Extended the mandate of the 1540 CommitteeCommittee for a period of three years, with the continued assistance of experts, until 25 April 2011until 25 April 2011

http://www.un.org/en/sc/1540/national-implementation/national-action-plans.shtmlhttp://www.un.org/en/sc/1540/national-implementation/national-action-plans.shtml

As at 05 January 2013,5 Member Stateshave submitted National Action Plans

• Recognizes States’ progressprogress in implementing resolution 1540 while noting while noting that States have that States have taken fewer measures in some of taken fewer measures in some of its areasits areas

• Takes note of international effortsinternational efforts towards full implementation of resolution 1540 (2004), including on preventing the financing of proliferation-related activities, and taking into consideration the guidance of the framework of the Financial Action Task Force Financial Action Task Force (FATF)(FATF)

• Decides to extend the mandate of the 1540 Committee for a period of 10 years until 25 April 2021until 25 April 2021

Resolution 1977 (2011) Resolution 1977 (2011) - Highlights, Achievements, & Challenges (1) -- Highlights, Achievements, & Challenges (1) -

The comprehensive review of 2009

acknowledged the significant number of

measures that States have taken to implement

obligations under resolution 1540 (2004), but

identified some areas in which States have

adopted fewer measures, such as biological biological

weaponsweapons, means of deliverymeans of delivery, , national control national control

listslists, , access to related materialsaccess to related materials and and financing financing

of prohibited or illicit proliferation activitiesof prohibited or illicit proliferation activities - --

S/2011/579

The comprehensive review of 2009

acknowledged the significant number of

measures that States have taken to implement

obligations under resolution 1540 (2004), but

identified some areas in which States have

adopted fewer measures, such as biological biological

weaponsweapons, means of deliverymeans of delivery, , national control national control

listslists, , access to related materialsaccess to related materials and and financing financing

of prohibited or illicit proliferation activitiesof prohibited or illicit proliferation activities - --

S/2011/579

Resolution 1977 (2011)Resolution 1977 (2011) - Highlights, Achievements, & Challenges - (2)- Highlights, Achievements, & Challenges - (2)

• Stresses the need of enhanced need of enhanced assistance and collaborationassistance and collaboration among States, between the 1540 Committee and States, and between the 1540 Committee and relevant international, relevant international, regional and subregional organizationsregional and subregional organizations in assisting States to implement resolution 1540 (2004)

• Urges States andStates and relevant international, relevant international, regional and subregional organizationsregional and subregional organizations to to inform the Committee as appropriate inform the Committee as appropriate of areas in which they are able to of areas in which they are able to provide assistanceprovide assistance; and calls upon States and such organizations, if they States and such organizations, if they have not done so previously, to provide have not done so previously, to provide the 1540 Committee with a the 1540 Committee with a point of point of contact for assistancecontact for assistance……

In fulfilling its clearing house function in a transparent manner, the Committee posted on its website requests for assistance from 38 requests for assistance from 38 Member States and from two Member States and from two subregional organizations, as well as subregional organizations, as well as offers of assistance from 46 Member offers of assistance from 46 Member States and a number of international, States and a number of international, regional, subregional organizations or regional, subregional organizations or entities.entities.

With the objective of facilitating technical assistance for the implementation of resolution 1540 (2004) by matching offers and requests for assistance, the Committee and its experts continued and intensified the dialogue with the Working Group of the Working Group of the G-8 Global Partnership Against the the G-8 Global Partnership Against the Spread of Weapons and Materials of Spread of Weapons and Materials of Mass Destruction (GPWG)Mass Destruction (GPWG) on the consolidated list of assistance requests… -- S/AC.44/2012/OC.48

In fulfilling its clearing house function in a transparent manner, the Committee posted on its website requests for assistance from 38 requests for assistance from 38 Member States and from two Member States and from two subregional organizations, as well as subregional organizations, as well as offers of assistance from 46 Member offers of assistance from 46 Member States and a number of international, States and a number of international, regional, subregional organizations or regional, subregional organizations or entities.entities.

With the objective of facilitating technical assistance for the implementation of resolution 1540 (2004) by matching offers and requests for assistance, the Committee and its experts continued and intensified the dialogue with the Working Group of the Working Group of the G-8 Global Partnership Against the the G-8 Global Partnership Against the Spread of Weapons and Materials of Spread of Weapons and Materials of Mass Destruction (GPWG)Mass Destruction (GPWG) on the consolidated list of assistance requests… -- S/AC.44/2012/OC.48


• Requests the Secretary-General to establish, in consultation with the 1540 Committee, a group of up to eight experts (“group of expertsgroup of experts”)… [later expanded to nine per resolution 2055 (2012)]

• Endorses the existing administrative existing administrative and logistics support to the 1540 and logistics support to the 1540 Committee from the UN Office for Committee from the UN Office for Disarmament Affairs (UNODA)…Disarmament Affairs (UNODA)…

• Encourages States… to provide provide resources to UNODA to assist Statesresources to UNODA to assist States… and to make available “make available “in kindin kind” ” contributions or cost-free training and contributions or cost-free training and expertiseexpertise to the 1540 Committeeto the 1540 Committee to help to help the group of expertsthe group of experts meet requests for assistance in a timely & effective manner

The Kingdom of Saudi Arabia expressed willingness to continue to work with the Committee, including through financial support for specific projects, that will effectively contribute to the implementation of resolution 1540 (2004) by States. In this regard, the the Kingdom of Saudi Arabia pledged Kingdom of Saudi Arabia pledged $500,000 for such activities.$500,000 for such activities.

The Government of the United States The Government of the United States provided an additional $1.5 million to provided an additional $1.5 million to the UN Trust Fund for Global and the UN Trust Fund for Global and Regional Disarmament bringing its total Regional Disarmament bringing its total contribution to $4.5 millioncontribution to $4.5 million to support efforts to facilitate universal implementation of resolution 1540 (2004) -- S/AC.44/2012/OC.48

The Kingdom of Saudi Arabia expressed willingness to continue to work with the Committee, including through financial support for specific projects, that will effectively contribute to the implementation of resolution 1540 (2004) by States. In this regard, the the Kingdom of Saudi Arabia pledged Kingdom of Saudi Arabia pledged $500,000 for such activities.$500,000 for such activities.

The Government of the United States The Government of the United States provided an additional $1.5 million to provided an additional $1.5 million to the UN Trust Fund for Global and the UN Trust Fund for Global and Regional Disarmament bringing its total Regional Disarmament bringing its total contribution to $4.5 millioncontribution to $4.5 million to support efforts to facilitate universal implementation of resolution 1540 (2004) -- S/AC.44/2012/OC.48


• Urges the 1540 Committee to continue...facilitating technical assistance for implementation of resolution 1540 (2004), in particular by… matching offers matching offers and requests for assistanceand requests for assistance, through such means as visits to States, at the invitation visits to States, at the invitation of the State concernedof the State concerned, assistance assistance templatestemplates, action plansaction plans or other information submitted to the 1540 Committee

• Decides that the 1540 Committee will conduct a comprehensive review on the status of implementation of resolution 1540 (2004), both after five years and prior to the renewal of its mandate… the first review the first review should be held before December 2016should be held before December 2016

US visit, Dept. of Health & Human Services, US visit, Dept. of Health & Human Services, BSL-4 training facilityBSL-4 training facility


• Urges the 1540 Committee to continue to engage actively with States and relevant international, regional and subregional organizations to to promote the sharing of promote the sharing of experience, lessons learned and effective experience, lessons learned and effective practices…practices…

• Requests the 1540 Committee, with the support of the group of experts, to

o identify effective practices, templates and identify effective practices, templates and guidance, with a view to develop a compilationguidance, with a view to develop a compilation, as well as to

o consider preparing a technical reference guide consider preparing a technical reference guide about resolution 1540 (2004),about resolution 1540 (2004), to be used by States on a voluntary basis in implementing resolution 1540 (2004), and in that regard,

o encourages the 1540 Committee, at its discretion, to draw also on relevant expertise, to draw also on relevant expertise, including, civil society and the private sector, including, civil society and the private sector, with, as appropriate, their State’s consentwith, as appropriate, their State’s consent

The 1540 Committee website serves as an important medium to share various documents to share various documents related to sharing of experience, related to sharing of experience, lessons learned, and effective lessons learned, and effective practices practices on implementing resolution 1540 (2004).

On average, the 1540 website receives nearly 4,000 visits per month (generating more than 10,000 page-views traffic) from more than 100 countries.

No committee-approved “technical reference guide” or “compilation” of effective effective practices, templates and practices, templates and guidanceguidance are yet available…

The 1540 Committee website serves as an important medium to share various documents to share various documents related to sharing of experience, related to sharing of experience, lessons learned, and effective lessons learned, and effective practices practices on implementing resolution 1540 (2004).

On average, the 1540 website receives nearly 4,000 visits per month (generating more than 10,000 page-views traffic) from more than 100 countries.

No committee-approved “technical reference guide” or “compilation” of effective effective practices, templates and practices, templates and guidanceguidance are yet available…


• Requests the 1540 Committee to continue to organize and continue to organize and participate in outreach participate in outreach events…events… and promote the promote the refinement of these outreach refinement of these outreach efforts to focus onefforts to focus on specificspecific thematic and regional issuesthematic and regional issues related to implementationrelated to implementation

Implementing UN Security Council Resolution 1540 to combat the proliferation of biological weapons, Geneva, Switzerland

Africa Regional Biosafety and Biosecurity Workshop on Implementation of UN Security Council Resolution 1540, Nairobi, Kenya

Thematic refinement of outreach remains challenging.

Out of the 45 outreach events attended by the 1540 Committee in 2012, only two* specifically addressed biological or chemical areas of implementing resolution 1540 but neither were exclusively focused on 1540.

Thematic refinement of outreach remains challenging.

Out of the 45 outreach events attended by the 1540 Committee in 2012, only two* specifically addressed biological or chemical areas of implementing resolution 1540 but neither were exclusively focused on 1540.

*Technical meeting on the implementation of BWC and UNSCR 1540-organized by the Ecuador MoD, VERTIC, UNLIREC and UNODA; and the International meeting on chemical safety and security, organized by Poland, OPCW, and the G8 GP, respectively

Conclusions (1)Conclusions (1)

• There is an upward trendpward trend on implementing resolution 1540 (2004) but challenges still remain

• Still no “universality”“universality” on first reports submitted by Member States

• Promoting the sharing of experience, lessons learned and effective practicessharing of experience, lessons learned and effective practices is still done on ad-hoc basis, with no compilation or technical reference guide approved by the 1540 Committee yet available

• There is increased coordination of the Committee with Member States and international organizations on assistanceassistance, challenges on knowledge knowledge managementmanagement remain

• Member States offered assistance not only to other Member States but to civil Member States offered assistance not only to other Member States but to civil society as wellsociety as well; there is no clear perspective on how the requests or offers of how the requests or offers of assistance from NGOs will be addressed by the 1540 Committeeassistance from NGOs will be addressed by the 1540 Committee

• Many Member States still experience difficulties in linking offers of difficulties in linking offers of assistance with their own needsassistance with their own needs related to specific operative paragraphs of resolution 1540 (2004)

Conclusions (2)Conclusions (2)

• Thematic focus in outreachThematic focus in outreach remains challenging, with the majority of events

organized internationally devoted to nuclear security and export controls --

areas shown in the 2009 Comprehensive review as the ones meeting most of

the 1540 requirements while areas of low compliance still under-addressed

• Preparation for the 2016 Comprehensive reviewthe 2016 Comprehensive review not yet started

• The 1540 Matrix template1540 Matrix template may need to be updated to reflect other

complementary international efforts (i.e. FATF Recommendations, governance

of synthetic genomics and dual use research of concern, codes of conduct etc)

““The 1540 Committee has a key role to play in ensuring The 1540 Committee has a key role to play in ensuring that the world is a safe place and in allowing people in that the world is a safe place and in allowing people in every country to pursue their lives free of fear of every country to pursue their lives free of fear of catastrophic attack by non-State actors. Let us sustain catastrophic attack by non-State actors. Let us sustain our efforts to counter the threats of proliferation of our efforts to counter the threats of proliferation of nuclear, chemical and biological weapons and their nuclear, chemical and biological weapons and their means of delivery…means of delivery…

……International and regional organizations have come to International and regional organizations have come to play an essential role in assisting national efforts.play an essential role in assisting national efforts.

I also welcome the increasingly prominent role that the I also welcome the increasingly prominent role that the 1540 Committee attaches to partnership with 1540 Committee attaches to partnership with civil civil society. society.

Those voices, be they from Those voices, be they from non-governmental non-governmental organizations, academia or industryorganizations, academia or industry, have much to , have much to contribute. I am encouraged by the initiative of Austria contribute. I am encouraged by the initiative of Austria to convene, next month in Vienna, the first civil society to convene, next month in Vienna, the first civil society forum in support of resolution 1540…”forum in support of resolution 1540…”

The UN Secretary General, Ban Ki-MoonRemarks at dinner hosted by the permanent representative of Saudi Arabia on the occasion of the high-level event on Security Council resolution 1540 (2004)New York, 10 December 2012

Dr. Dana PerkinsDr. Dana Perkins1540 Committee Expert1540 Committee Expert

United NationsUnited Nations

300 E 42300 E 42ndnd St., Suite IN-03074H St., Suite IN-03074H

Tel: +1 (917) 367 6023 (office)Tel: +1 (917) 367 6023 (office)

E-mail:E-mail: [email protected]@un.org

1540 Experts Collective E-mail: [email protected]

1540 Committee Chairman /Secretariat of the 1540 Committee: [email protected]

1540 Committee website: http://www.un.org/sc/1540

Contact information:Contact information:

Documents

Resolution 1540 1977-presentation-perkins vienna-8-10-jan2013