United Nations Security Council Resolution 1540 and the Biological Weapons Convention:

synergy in the area of non-proliferation and international cooperation for peaceful purposes

United Nations Security Council Resolution 1540 and the Biological Weapons Convention:

synergy in the area of non-proliferation and international cooperation for peaceful purposes

Dana Perkins, PhDDana Perkins, PhD1540 Committee Expert1540 Committee Expert

Biological Weapons Convention Meeting of ExpertsBiological Weapons Convention Meeting of Experts1212--16 August 2013, Geneva, Switzerland16 August 2013, Geneva, Switzerland

Unless otherwise specified, the opinions presented here are those of the presenter and may not necessarily reflect the views of the 1540 Committee, its Group of Experts, or the UN Security Council

Resolution 1540 (2004): A Response to Threats to Peace and SecurResolution 1540 (2004): A Response to Threats to Peace and Securityity

Refrain from providing any form of support to non-State actors that attempt to develop, acquire, manufacture, possess, transport, transfer or use nuclear, chemical or biological weaponsbiological weapons and their means of delivery

Adopt and enforce appropriate effective laws prohibiting activities involving the proliferation of such weapons and their means of delivery to nonnon--State actors, in particular for State actors, in particular for terrorist purposesterrorist purposes, as well any attempts to engage in such activities, assist or finance them

Legally binding obligations on all States under Resolution 1540 Legally binding obligations on all States under Resolution 1540 (2004), to:(2004), to:

Implement and enforce appropriate controls over related materialsrelated materials in order to:

Account for and secureAccount for and secure items in production, use, storage or transport;

Physically protect;Physically protect;

Detect, deter, prevent and combat the illicit Detect, deter, prevent and combat the illicit trafficking and brokeringtrafficking and brokering through effectiveborder controls an law enforcement efforts;

Control the export, transit, transControl the export, transit, trans--shipmentshipmentand reand re--export and the provision of funds export and the provision of funds and servicesand services related to such export and trans-shipment that would contribute to proliferation;

Penalize violationsPenalize violations.

Definitions for the purpose of resolution 1540 (2004)Definitions for the purpose of resolution 1540 (2004)

•• Means of delivery:Means of delivery: missiles, rockets and other unmanned systems capable of delivering nuclear, chemical, or biological weapons, that are specially designed for such use

•• NonNon--State actor:State actor: individual or entity, not acting under the lawful authority of any State in conducting activities which come within the scope of this resolution

•• Related materials:Related materials: materials, equipment and technology covered by relevant multilateral treaties and arrangements, or icovered by relevant multilateral treaties and arrangements, or included ncluded on national control listson national control lists, which could be used for the design, development, production or use of nuclear, chemical and biological weapons and their means of delivery

BWC and resolution 1540 (2004) are mutually reinforcingBWC and resolution 1540 (2004) are mutually reinforcing

“[Security Council] calls upon States to renew and calls upon States to renew and fulfill their commitment to multilateral cooperationfulfill their commitment to multilateral cooperation, in part icular within the framework of the In ternat iona l Atomic Energy Agency, the Organization for the Prohibition of Chemical Weapons and the Biological and Toxin Weapons Biological and Toxin Weapons ConventionConvention, as important means of pursuing and achieving their common objectives in the area of non-proliferation and of promoting international cooperation for peaceful purposes… [and]

p romote the un iversa l adopt ion and fu l l p romote the un iversa l adopt ion and fu l l i m p l e m e n t a t i o n , a n d , w h e r e n e c e s s a r y , i m p l e m e n t a t i o n , a n d , w h e r e n e c e s s a r y , strengthening of multilateral treatiesstrengthening of multilateral treaties to which they are parties, whose aim is to prevent the proliferation of nuclear, biological or chemical weapons”– Security Council Resolution 1540 (2004)

Security Council Meets on NonSecurity Council Meets on Non--Proliferation of Proliferation of WMDsWMDsUN Photo: UN Photo: EskinderEskinder DebebeDebebe, 28 April 2004, 28 April 2004

BWC and resolution 1540 (2004) are mutually reinforcingBWC and resolution 1540 (2004) are mutually reinforcing

[BWC States Parties] noted that “information provided to information provided to the United Nations by states in the United Nations by states in accordance with Resolution accordance with Resolution 1540 may provide a useful 1540 may provide a useful resource for States Parties in resource for States Parties in fulfi l l ing their obligationsfulfi l l ing their obligationsu n d e r t h i s A r t i c l e [ 4 ] ”– Final Declaration of BWC States Parties

at the 7th Review Conference The Seventh Review Conference of the Biological Weapons ConventiThe Seventh Review Conference of the Biological Weapons Convention, on, 55--22 December 201122 December 2011, Photo: Dana PerkinsPhoto: Dana Perkins

The 1540 Committee established

pursuant to resolution 1540

(2004) is a subsidiary body of

the Security Council

The current Group of ExpertsGroup of Experts

was established per resolutions

1977 (2011) and 2055 (2012) ““to to

assist the Committee in carrying assist the Committee in carrying

out its mandateout its mandate…”…”

1540 Committee Chair (ROK)

1540 Committee Member

1540 Group of Experts Member

“[Security Council] expresses its intention to monitor closely the implementation of this resolution and, at the appropriate level, to take further decisions which may be required to this end”- Security Council Resolution 1540 (2004)

NATIONAL DISCRETION:NATIONAL DISCRETION: Resolution 1540 (2004) identifies the obligations, States decide how to implement these obligations

COOPERATIVE APPROACH:COOPERATIVE APPROACH: The 1540 Committee is NOT a sanctions committee. It facilitates implementation through cooperation, dialogue, and as a clearinghouse for assistance

ASSISTANCE:ASSISTANCE: The Security Council recognizes that some States may require assistance in implementing resolution 1540 (2004), and invites those in a position to do so to offer assistance. The 1540 Committee itself does not provide assistance but it has a match making role to facilitate assistance by others for implementation of the resolution

TheThe 1540 Architecture1540 Architecture

UN Security CouncilUN Security Council

Monitoring &national implementation Assistance

Cooperation with international organizations, including the Security

Council committees established pursuant to resolutions 1267 (1999) and 1373 (2001)

Transparency &media outreach

1540 Committee1540 Committee

Group of ExpertsGroup of Experts

UN Office for UN Office for Disarmament Disarmament

AffairsAffairs

UN UN Department Department of Political of Political

AffairsAffairs

Regional and sub-regionalseminars and workshops

Monitoring national Monitoring national implementationimplementation

•• StatesStates’’ national national reports and reports and updatesupdates

•• StatesStates’’ national national points of contactpoints of contact

•• StatesStates’’ voluntary voluntary national action national action plansplans

•• Visits to States Visits to States at their invitationat their invitation

•• CountryCountry--specific specific activities and activities and dialoguedialogue

•• CommitteeCommittee’’s s 1540 matrix1540 matrix

Assistance and Assistance and cooperationcooperation

Transparency and Transparency and outreachoutreach

Reporting to the Reporting to the Security CouncilSecurity Council

The Group of Experts supports the processThe Group of Experts supports the process

•• Matchmaking of Matchmaking of requests and offers of requests and offers of assistanceassistance

•• Cooperation with SC Cooperation with SC committees 1267 & 1373committees 1267 & 1373and international/ and international/ regional organizationsregional organizations

•• Committee members Committee members and expertsand experts’’participation in participation in outreach eventsoutreach events

•• 1540 Committee 1540 Committee websitewebsite

•• 1540 Compass journal1540 Compass journal

•• CommitteeCommittee’’s annual s annual Program of WorkProgram of Work

•• Annual review on the Annual review on the implementation of implementation of resolution 1540 (2004)resolution 1540 (2004)

•• Biannual briefing on Biannual briefing on cooperation between the cooperation between the SC committees 1267, SC committees 1267, 1373, and 1540 1373, and 1540

The 1540 ProcessThe 1540 Process

• Measures to account for / secureaccount for / secureproduction, use, storage, and production, use, storage, and transport of BW and related materialstransport of BW and related materials

• Regulations for physical protection of physical protection of facilities / materials / transportsfacilities / materials / transports

•• Licensing / registration of facilities / Licensing / registration of facilities / peoplepeople handling bio materials

•• Reliability check of personnelReliability check of personnel

• Measures to account for / secure / account for / secure / physically protect means of deliveryphysically protect means of delivery

•• Regulations for genetic engineering Regulations for genetic engineering workwork

•• Other legislation / regulations related Other legislation / regulations related to safety and security of biological to safety and security of biological materialsmaterials

EXCERPT FROM THE NEW MATRIX TEMPLATEEXCERPT FROM THE NEW MATRIX TEMPLATE

Reference to BWC Reference to BWC CBMsCBMsA A ““1540 Matrix1540 Matrix”” is prepared by the 1540 Committee for each Stateis prepared by the 1540 Committee for each State

Status of reporting to the 1540 Committee (data as of 08 August Status of reporting to the 1540 Committee (data as of 08 August 2013)2013)

• States are called upon to submit a first report to the 1540 Committee on steps they have taken or intend to take to implement resolution 1540 (2004)

• States that have already submitted such report are encouraged to provide additional information when appropriate or upon the request of the Committee

List of States yet to submit a first report as of 08 August 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. Malawi 13. Mali 14. Mauritania 15. Mozambique 16. Sao Tome and Principe 17. Solomon Islands 18. Somalia 19. Swaziland 20. Timor-Leste 21. Zambia 22. Zimbabwe

List of States yet to submit a first report as of 08 August 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. Malawi 13. Mali 14. Mauritania 15. Mozambique 16. Sao Tome and Principe 17. Solomon Islands 18. Somalia 19. Swaziland 20. Timor-Leste 21. Zambia 22. Zimbabwe

ReportingReportingStates:171States:171

NonNon--reportingreportingStates: 22States: 22

StatesStateswith onewith one

report: 61report: 61

StatesStateswith twowith twoor moreor morereports: reports:

110110

National Implementation Action PlansNational Implementation Action Plans

• “[Security Council] encourages all States to prepare on a voluntary basis national implementation action plans, with the assistance of the 1540 Committee as appropriate, mapping out their priorities and plans for implementing the key provisions of resolution 1540 (2004), and to submit those plans to the 1540 Committee” –Security Council Resolution 1977 (2011)

• National Action Plans submitted to the 1540 Committee by: United States (2007); Argentina (2009); Canada (2010); France (2011); Serbia (2012); Belarus (2012); and Kyrgyzstan (2013)

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

National Implementation Action Plans National Implementation Action Plans ---- Excerpts Excerpts ----

1540 Committee Visits to States1540 Committee Visits to States

• “[Security Council] encourages…the 1540 Committee, with the support of necessary relevant expertise, to actively engage in dialogue with States on the implementation of resolution 1540 (2004), including through visits to States at their invitation” –Security Council Resolution 1977 (2011)

• States visited up to date: United States (2011); Albania (2012); Madagascar (2012); Republic of the Congo (2012); Trinidad and Tobago (2013); Grenada (2013)

• Upcoming planned visits tentatively scheduled: Republic of Moldova (2013) and Mozambique (2013)

Trinidad and Tobago visit: Acting Prime Minister Winston Dookeran, right, speaks to Ambassador Kim Sook, chairman of the UN Security Council 1540 Committee - Photo: Jermaine Cruickshank

US visit, Department of Health and Human Services, National Institutes of Health, BSL-4 training facility -Photo: Dana Perkins

1540 Peer Review1540 Peer Review

1540 Peer review conducted by 1540 Peer review conducted by Croatia and Poland (visit to Croatia), Croatia and Poland (visit to Croatia), organized by the Governments of organized by the Governments of Croatia and Poland and supported by Croatia and Poland and supported by the UN Office for Disarmament Affairs, the UN Office for Disarmament Affairs, 1717--19 June 2013, Zagreb, Croatia19 June 2013, Zagreb, Croatia

Resolution 1540 (2004): How to Request or Offer AssistanceResolution 1540 (2004): How to Request or Offer Assistance

• Assistance requests should be formally submitted by States to the 1540 Committee, e.g. by using the Template on Assistance

• States and International, Regional and Subregional Organisations are urged to inform the Committee about areas in which they are able to provide assistance and also provide point of contact information

Secretariat of the 1540 CommitteeSecretariat of the 1540 CommitteeAttention: Chairman, 1540 CommitteeAttention: Chairman, 1540 CommitteeH.E. Ambassador Kim Sook,Permanent Representative ofThe Republic of Korea to the United Nations730 Third Avenue, TB-08040E, United Nations, New York, NY 10017Fax: +1 (212) 963-1300Email: sc-1540-Committee@un.org

Overview of Requests for AssistanceOverview of Requests for Assistance

• As of 05 August 2013, 53 States and two Regional / Subregional Organisations have requested assistance

• Sources of requests: National reports, National Implementation Action Plans, Notes Verbale, use of the template for assistance

• Overall range: securing materials, general assistance needs with regard to WMD non-proliferation legislative framework, awareness raising or training needs in border and export controls, etc.

• 14 States specifically requested assistance in the bio area (Albania, Algeria, Armenia, Bahamas, Barbados, Colombia, DR Congo, Grenada, Guatemala, Iraq, Kenya, Kyrgyzstan, Mexico, and Uganda)

Requests for Assistance Requests for Assistance -- -- Illustrative Examples Illustrative Examples -- --

“1. Provision of sophisticated radioactive, chemical and biological detection equipmentbiological detection equipment.2. Organizing of professional training and professional training and exerciseexercise, including those with international attendance.”

“…need help to develop a national control list for the dual use items based on relevant international arrangements (CWC, BWCBWC…”

“The general areas identified include:(a) Drafting of legislationDrafting of legislation;(b) Mechanisms for accounting for and accounting for and securingsecuring nuclear, chemical and biological material in use, storage or transport;(c) Appropriate physical protection measures;(d) Strengthening of controls on all borders regarding imports, exports and reimports, exports and re--exportsexports;(e) Training of security forcesTraining of security forces in handling nuclear, chemical and biological material or in performing duties in the vicinity of such potentially hazardous substances”.

“…Welcomes proposals to establish both effective international cooperation mechanisms for investigating suspicious outbreaks of diseasesinvestigating suspicious outbreaks of diseases and procedures for addressing concerns relating to compliance with the [Biological Weapons] Convention[Biological Weapons] Convention, as well as, inter alia, proposals to train train personnelpersonnel to work as part of international rapid response teams in the event of biological emergencies”.

Overview of Offers for AssistanceOverview of Offers for Assistance

• As of 05 August 2013, 46 States have offered assistance

• The 1540 website also posts information on Assistance Programmes and Offers from International, Regional and Subregional Organizations and Other Arrangements

• Some States have both requested and offered assistance

• Assistance is offered on a bilateral basis and/or through international organizations

• Overall range: cooperation programs, specific measures, case-by-case basis etc.

Offers of Assistance Offers of Assistance -- -- Illustrative Examples Illustrative Examples -- --

“…CanadaCanada could provide the following types of assistance to fight CBRN terrorism…: legislative drafting and legal policy legislative drafting and legal policy assistance related to the ratification and assistance related to the ratification and implementation of nonimplementation of non--proliferation and arms proliferation and arms controlcontrol--related conventions (e.g. the CWC related conventions (e.g. the CWC and the BTWCand the BTWC); health security initiatives with biobio--terrorismterrorism applications such as the establishment of disease surveillance systems; export controlsexport controls training; training in biobio--safety/security standardssafety/security standards; detection and detection and decontaminationdecontamination of chemical, biological and radiological terror agents; food safety, food safety, animal and plant health initiativesanimal and plant health initiatives…”

“In view of PakistanPakistan’s experience in implementation of implementation of various treaties regimes including CWC, CPPNM and BWCvarious treaties regimes including CWC, CPPNM and BWCand its elaborate legislative framework in the safety and security of nuclear technology and material, Pakistan is in a position to provide assistance, as appropriate, in response to specific requests, to the states lacking the legal and regulatory infrastructure, implementation experience and/or resources for fulfilling the provisions of the Security Council Resolution 1540 (2004)”.

“The United StatesUnited States has strong outreach programs that provide information and assistance to states on joining and assistance to states on joining and implementing the Biological Weapons Convention (BWC).implementing the Biological Weapons Convention (BWC).The United States also provides assistance, upon request, to existing BWC States Parties on issues relating to the completion of implementation requirements, and strengthening strengthening biosafetybiosafety and pathogen security legislation and pathogen security legislation and policiesand policies”.

“CubaCuba, through the CITMA National Biosafety Centre, is prepared to contribute to exchanges of experience in the exchanges of experience in the implementation of the Biological Weapons Conventionimplementation of the Biological Weapons Convention by means of courses, seminars, workshops and other activities, basically in the Latin American and Caribbean region”.

“The Russian side is also prepared to provide assistance to Yerevan in completing the necessary legal basis for carrying out the provisions of CWC and BTWC BTWC if these questions are of relevance for the Armenian side”--Letter from Russian Russian FederationFederation dated 29 May 2009 on Armenia’s assistance request .

Cooperation with International OrganizationsCooperation with International Organizations

• Due to their specialized expertise and regional awareness, relevant international, regional and subregionalorganizations have a crucial rolecrucial role in supporting the implementation of resolution 1540 (2004)

• Currently, the Assistance Programmes and Offers from International, Regional and Subregional Organizations and Other Arrangements include those from:

– United Nations (UNIDIR, UNODC, IMO, IAEA); OPCW; WCO; EU; IMF; OSCE (CPC, FSC); World Bank; Zangger Committee; NSG; MTCR; INTERPOL

• BWC ISU nominated by the BWC Chair as point of contact for BWC issues

•• WHO, OIE, andWHO, OIE, and FAOFAO are encouraged to enhance cooperation and information sharing with the 1540 Committee on technical assistance and all other issues of relevance for the implementation of resolution 1540 (2004), within their mandates, and provide the 1540 Committee with a point of contactpoint of contact

Sharing of Sharing of ““experience, lessons learned and effective practices““

“[Security Council] urges States and relevant international, regional and States and relevant international, regional and subregionalsubregional organizationsorganizations to inform the Committee as appropriate of areas in which they are able to provide assistance; and calls upon States and such organizations, if they have not done so previously, to provide the 1540 Committee with a point of contact for assistancepoint of contact for assistance…

[and]

urges the 1540 Committee to continue to engage actively with States and relevant international, regional and subregional organizations to promote the sharing of experience, lessons learned and effective practicessharing of experience, lessons learned and effective practices, in the , in the areas covered by resolution 1540 (2004), drawing in particular oareas covered by resolution 1540 (2004), drawing in particular on n information provided by States as well as examples of successfulinformation provided by States as well as examples of successfulassistance, and to liaise on the availability of assistance, and to liaise on the availability of programmesprogrammes which might which might facilitate the implementation of resolution 1540 (2004),facilitate the implementation of resolution 1540 (2004), while bearing in mind that customized assistance is useful for the effective implementation of resolution 1540 (2004) at national levels” – Security Council Resolution 1977 (2011)

Resolution 1540 (2004): Bio outreachResolution 1540 (2004): Bio outreach

• “[Security Council] requests the 1540 Committee tocontinue to organize and participate in outreach events…and promote the refinement of these outreach efforts to focus on specific thematic and regional issues related to implementation”– Security Council Resolution 1977 (2011)

• Since the adoption of resolution 1540 (2004) only two international workshops were organized by States to discuss the implementation of resolution 1540 (2004) in the bio area:

- Implementing UN Security Council Resolution 1540 to combat the proliferation of biological weapons, Geneva, Switzerland (2005)

- Africa Regional Biosafety and Biosecurity Workshop on Implementation of UN Security Council Resolution 1540, Nairobi, Kenya (2010)

• Thanks to the EU / UNODA-Geneva regional workshops on BWC implementation (under the BWC Action), the common objectives of BWC and resolution 1540 are now promoted for integration into relevant national action plans

“…“…Global cooperation in upholding resolution 1540 is vital in preventing WMD proliferation and terrorism. I appreciate the Security Council 1540 Committee’s contributions to this great cause.

Participants at the nuclear security summit, both in Washington D.C. and Seoul, have expressed overwhelming support for the work of this resolution.

The United Nations and its Member States are working hard to ensure that weapons of mass destruction are never used again by anyone, anywhere…”…”

Secretary-General Ban Ki-Moon, remarks at event on "Preventing the Proliferation of Weapons of Mass Destruction to Non-State Actors : The Implementation of Resolution 1540 (2004) in the Arab World“, hosted by the Permanent Mission of Saudi Arabia to the United Nations, 22 April 2013http://www.unmultimedia.org/radio/english/2013/04/the-possibility-that-terrorist-groups-could-obtain-weapons-of-mass-destruction-should-not-be-dismissed-as-a-fiction-ban/

Dana Perkins, PhDDana Perkins, PhD1540 Committee Expert 1540 Committee Expert United NationsUnited Nations300 East 42300 East 42ndnd St., Suite INSt., Suite IN--03074H03074HNew York, NY 10017New York, NY 10017Tel: +1 (917) 367 6023 (office)Tel: +1 (917) 367 6023 (office)EE--mail:mail: PerkinsD@un.orgerkinsD@un.org

Contact informationContact information

Collective eCollective e--mail: 1540experts@un.orgmail: 1540experts@un.org

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