Resolutions 1540 (2004) and 1977 (2011):  Resolutions 1540 (2004) and 1977 (2011):Objectives, Mandate, Status of Implement...
Aide-Mémoire                                                                                                              ...
Resolution 1540 (2004) Overview                          reats To theAction with Respect to Thace, and                    ...
Resolution 1540 (2004) - Objectives Enhance the capacity of all States to respond effectively to the threats posed   by t...
Resolution 1540 (2004)- Highlights National legislation on prohibitions (OP.1 & 2) Domestic controls and enforcement (OP...
The 1540 Committee The Committee established pursuant to para. 4 of res. 1540 (2004) is known as the 1540 Committee The ...
The 1540 Committee and its Experts• Receive and examine            Tools:  reports to monitor                • National ma...
The 1540 Matrix•   Information originates primarily from    national reports and is complemented    by official government...
Resolution 1673 (2006)- Highlights•   Calls upon all States that have not yet presented a first report on    steps they ha...
Resolution 1810 (2008)      - Highlights, Achievements, & Challenges – (1)•   Again calls upon all States that have List o...
Resolution 1810 (2008)       - Highlights, Achievements, & Challenges – (2)•   Encourages all States to prepare on a    vo...
Resolution 1977 (2011)     - Highlights, Achievements, & Challenges (1) -•   Recognizes States’ progress in      The compr...
Resolution 1977 (2011)       - Highlights, Achievements, & Challenges - (2)•   Stresses the need of enhanced    assistance...
Resolution 1977 (2011)         - Highlights, Achievements, & Challenges - (3)•   Requests the Secretary-General to    esta...
Resolution 1977 (2011)        - Highlights, Achievements, & Challenges - (4)•   Urges the 1540 Committee to    continue......
Resolution 1977 (2011)         - Highlights, Achievements, & Challenges - (5)•   Urges the 1540 Committee to continue to  ...
Resolution 1977 (2011)               - Highlights, Achievements, & Challenges - (6)• Requests the 1540 Committee  to conti...
Conclusions (1)•   There is an upward trend on implementing resolution 1540 (2004) but    challenges still remain•   Still...
Conclusions (2)•   Thematic focus in outreach remains challenging, with the majority of events    organized internationall...
“The 1540 Committee has a key role to play in ensuringthat the world is a safe place and in allowing people inevery countr...
Contact information:             Dr. Dana Perkins             1540 Committee Expert             United Nations            ...
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Resolution 1540 1977-presentation-perkins vienna-8-10-jan2013

  1. 1. Resolutions 1540 (2004) and 1977 (2011): Resolutions 1540 (2004) and 1977 (2011):Objectives, Mandate, Status of Implementation, andObjectives, Mandate, Status of Implementation, and Challenges Challenges Dana Perkins, PhD 1540 Committee Expert UNSCR 1540 Civil Society Forum - Opportunities for Engagement Vienna, Austria, 8-10 January 2013 Hosted by the Federal Ministry for European and International Affairs of Austria, in cooperation with the United Nations Office for Disarmament Affairs and organized by the Steering Committee of the Forum
  2. 2. Aide-Mémoire 25 April 2021 2005 Chair report The 2011 review on The 2012 review on the implementation of the implementation of First Chair report resolution 1540 (2004) resolution 1540 (2004) Comprehensive Review2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 Comprehensive Review NLT Dec 2016 11th POW: 01 June ‘12 - 31 May ‘13 Report on compliance Report on compliance Report on compliance with resolution 1540 with resolution 1540 with resolution 1540 (2004) requirements (2004) requirements (2004) requirements
  3. 3. Resolution 1540 (2004) Overview reats To theAction with Respect to Thace, and  Adopted on 28 April 2004 underPeace, Breaches of the PeActs of Aggression Chapter VII of the UN CharterUN Charter, Chapter VII, Articles 39-51 Article 39 The Security Council shall determine the existence of any  First formal decision ever taken by the threat to the peace, breach of the peace, or act of aggression and Security Council to address the WMD shall make recommendations, or decide what measures shall be proliferation as a global threat to taken… to maintain or restore international peace and security. international peace and security Article 41 The Security Council may decide what measures not involving the  Imposes far reaching obligations on all use of armed force are to be employed to give effect to its States to take a series of steps to decisions, and it may call upon the Members of the United prevent proliferation of WMDs, their Nations to apply such measures… measures means of delivery, and related materials to non-state actors
  4. 4. Resolution 1540 (2004) - Objectives Enhance the capacity of all States to respond effectively to the threats posed by the proliferation of WMD Prevent the proliferation of WMD, their means of delivery and related materials WMD Fill 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 Security Council Meets on Non-Proliferation of Weapons of Mass Destruction UN Photo/Eskinder Debebe, 28 April 2004
  5. 5. Resolution 1540 (2004)- Highlights 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)
  6. 6. The 1540 Committee The Committee established pursuant to para. 4 of res. 1540 (2004) is known as the 1540 Committee The 1540 Committee is a subsidiary body of the Security Council Chair: ROK; Vice-Chairs: AZE, LUX, & GBR; Members: ARG, AZE, AUS, CHN, FRA, GTM, LUX, MAR, PAK, ROK, RUS, RWA, TGO, GBR, & USA Working Groups on Monitoring and National Implementation; Assistance; Transparency and Implementation Assistance Outreach; Cooperation with International Organizations including with committees 1267 & 1373 A Senior Political Affairs Officer of the UN Department of Political Affairs (DPA) serves as Secretary of the Committee, while the Office for Disarmament Affairs (UNODA) provides substantive and logistical support The current Group of Experts was established per resolutions 1977 (2011) and 2055 (2012) “to assist the Committee in carrying out its mandate…” The 52nd formal meeting of the 1540 Committee, Ambassador Kim Sook 19 December 2012 1540 Committee Chairman
  7. 7. The 1540 Committee and its Experts• Receive and examine Tools: reports to monitor • National matrices implementation • Template for assistance requests • 1540 Committee website• Promote greater Ways and Means: awareness of UNSCR 1540, including by • Cooperation with other organizations • Outreach events outreach and dialogue • Country visits with Member States• Facilitate capacity building and assistance by providing a “clearing house” function http://www.un.org/en/sc/1540
  8. 8. The 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.shtml
  9. 9. Resolution 1673 (2006)- Highlights• Calls upon all States that have not yet presented a 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 delay• Encourages all States that have submitted such reports to provide, at any time or upon the request of the 1540 Committee, additional information on their implementation of resolution 1540 (2004)• Extends the mandate of the 1540 Committee for a period of two years, with the continued assistance of experts, until 27 April 2008• Invites the 1540 Committee to explore with States and international, regional and subregional organizations experience-sharing and lessons learned in the areas covered by resolution 1540 (2004), and (2004 the availability of programs which might facilitate the implementation of resolution 1540 (2004)
  10. 10. Resolution 1810 (2008) - Highlights, Achievements, & Challenges – (1)• Again calls upon all States that have List of States yet to submit aafirst List of States yet to submit first not yet presented a first report on report as at 05 January 2013 report as at 05 January 2013 steps they have taken or intend to 1. Cape Verde take to implement resolution 1540 1. Cape Verde 2. Central African Republic (2004) to submit such a report to the 3. Chad African Republic 2. Central 3. Chad 1540 Committee without delay 4. Comoros 4. Comoros 5. DPRK 5. DPRK 6. Equatorial Guinea 6. Equatorial Guinea• Encourages all States that have 7. Gambia 7. Gambia 8. Guinea 8. Guinea submitted such reports to provide, at 9. Guinea-Bissau 9. Guinea-Bissau any time or upon the request of the 10. Haiti 10. Haiti 1540 Committee, additional 11. Lesotho 11. Lesotho information… 12. Liberia 12. Liberia 13. Malawi 13. Malawi 14. Mali 14. Mali 15. Mauritania• Encourages the 1540 Committee to 15. Mauritania 16. Mozambique engage actively with States and 16. Mozambique 17. Sao Tome and Principe 17. Sao Tome and Principe relevant international, regional and 18. Solomon Islands 18. Solomon Islands subregional organizations to 19. Somalia 19. Somalia 20. South Sudan 20. South Sudan promote the sharing of experience 21. Swaziland and lessons learned… and to liaise 21. Swaziland 22. Timor-Leste 22. Timor-Leste on the availability of programs… 23. Zambia 23. Zambia 24. Zimbabwe 24. Zimbabwe
  11. 11. Resolution 1810 (2008) - Highlights, Achievements, & Challenges – (2)• Encourages all States to prepare on a voluntary basis summary action plans, plans with the assistance of the 1540 Committee as appropriate…• Requests the 1540 Committee to continue to organize and participate in outreach events at the regional, subregional and, as appropriate, national level promoting States’ implementation of resolution 1540 (2004) As at 05 January 2013,• Extended the mandate of the 1540 5 Member States Committee for a period of three years, have submitted National Action Plans with the continued assistance of experts, until 25 April 2011 http://www.un.org/en/sc/1540/national-implementation/national-action-plans.shtml
  12. 12. Resolution 1977 (2011) - Highlights, Achievements, & Challenges (1) -• Recognizes States’ progress in The comprehensive review of 2009 The comprehensive review of 2009 implementing resolution 1540 acknowledged the significant number of acknowledged the significant number of while noting that States have measures that States have taken to implement measures that States have taken to implement taken fewer measures in some of obligations under resolution 1540 (2004), but its areas obligations under resolution 1540 (2004), but identified some areas in which States have identified some areas in which States have adopted fewer measures, such as biological adopted fewer measures, such as biological• Takes note of international efforts weapons, means of delivery, ,national control weapons means of delivery national control weapons, weapons towards full implementation of lists, ,access to related materials and financing lists access to related materials and financing resolution 1540 (2004), including of prohibited or illicit proliferation activities -- of prohibited or illicit proliferation activities--- - on preventing the financing of S/2011/579 S/2011/579 proliferation-related activities, and taking into consideration the guidance of the framework of the Financial Action Task Force (FATF)• Decides to extend the mandate of the 1540 Committee for a period of 10 years until 25 April 2021
  13. 13. Resolution 1977 (2011) - Highlights, Achievements, & Challenges - (2)• Stresses the need of enhanced assistance and collaboration among In fulfilling its clearing house function In fulfilling its clearing house function States, between the 1540 Committee in aatransparent manner, the in transparent manner, the Committee posted on its website Committee posted on its website and States, and between the 1540 requests for assistance from 38 requests for assistance from 38 Committee and relevant international, Member States and from two Member States and from two subregional organizations, as well as regional and subregional organizations subregional organizations, as well as offers of assistance from 46 Member offers of assistance from 46 Member in assisting States to implement States and aanumber of international, States and number of international, regional, subregional organizations or resolution 1540 (2004) regional, subregional organizations or entities. entities. With the objective of facilitating With the objective of facilitating• Urges States and relevant international, technical assistance for the technical assistance for the regional and subregional organizations implementation of resolution 1540 implementation of resolution 1540 (2004) by matching offers and requests (2004) by matching offers and requests to inform the Committee as appropriate for assistance, the Committee and its for assistance, the Committee and its of areas in which they are able to experts continued and intensified the experts continued and intensified the dialogue with the Working Group of provide assistance; and calls upon assistance dialogue with the Working Group of the G-8 Global Partnership Against the the G-8 Global Partnership Against the States and such organizations, if they Spread of Weapons and Materials of Spread of Weapons and Materials of Mass Destruction (GPWG) on the have not done so previously, to provide Mass Destruction (GPWG) on the consolidated list of assistance consolidated list of assistance the 1540 Committee with a point of requests… -- S/AC.44/2012/OC.48 requests… -- S/AC.44/2012/OC.48 contact for assistance…
  14. 14. Resolution 1977 (2011) - Highlights, Achievements, & Challenges - (3)• Requests the Secretary-General to establish, in consultation with the 1540 Committee, a group of up to The Kingdom of Saudi Arabia The Kingdom of Saudi Arabia eight experts (“group of experts”)… experts expressed willingness to continue to expressed willingness to continue to [later expanded to nine per resolution work with the Committee, including work with the Committee, including through financial support for specific through financial support for specific 2055 (2012)] projects, that will effectively contribute projects, that will effectively contribute to the implementation of resolution to the implementation of resolution• Endorses the existing administrative 1540 (2004) by States. In this regard, the 1540 (2004) by States. In this regard, the and logistics support to the 1540 Kingdom of Saudi Arabia pledged Kingdom of Saudi Arabia pledged $500,000 for such activities. $500,000 for such activities. Committee from the UN Office for Disarmament Affairs (UNODA)… 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• Encourages States… to provide the UN Trust Fund for Global and the UN Trust Fund for Global and Regional Disarmament bringing its total Regional Disarmament bringing its total resources to UNODA to assist States… States contribution to $4.5 million to support contribution to $4.5 million to support and to make available “in kind” efforts to facilitate universal contributions or cost-free training and efforts to facilitate universal implementation of resolution 1540 implementation of resolution 1540 expertise to the 1540 Committee to help (2004) -- S/AC.44/2012/OC.48 (2004) -- S/AC.44/2012/OC.48 the group of experts meet requests for assistance in a timely & effective manner
  15. 15. Resolution 1977 (2011) - Highlights, Achievements, & Challenges - (4)• Urges the 1540 Committee to continue...facilitating technical assistance for implementation of resolution 1540 (2004), in particular by… matching offers and requests for assistance, through such assistance means as visits to States, at the invitation of the State concerned, assistance concerned templates, action plans or other information templates 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 should be held before December 2016 US visit, Dept. of Health & Human Services, BSL-4 training facility
  16. 16. Resolution 1977 (2011) - Highlights, Achievements, & Challenges - (5)• Urges the 1540 Committee to continue to engage actively with States and relevant The 1540 Committee website The 1540 Committee website international, regional and subregional serves as an important medium organizations to promote the sharing of serves as an important medium to share various documents to share various documents experience, lessons learned and effective related to sharing of experience, related to sharing of experience, practices… lessons learned, and effective lessons learned, and effective practices on implementing practices on implementing resolution 1540 (2004). resolution 1540 (2004).• Requests the 1540 Committee, with the support of the group of experts, to On average, the 1540 website On average, the 1540 website o identify effective practices, templates and receives nearly 4,000 visits per receives nearly 4,000 visits per guidance, with a view to develop a compilation, compilation month (generating more than month (generating more than as well as to 10,000 page-views traffic) from 10,000 page-views traffic) from o consider preparing a technical reference guide more than 100 countries. more than 100 countries. about resolution 1540 (2004), to be used by States on a voluntary basis in implementing No committee-approved No committee-approved resolution 1540 (2004), and in that regard, “technical reference guide” or “technical reference guide” or “compilation” of effective “compilation” of effective o encourages the 1540 Committee, at its practices, templates and practices, templates and discretion, to draw also on relevant expertise, guidance are yet available… guidance are yet available… including, civil society and the private sector, with, as appropriate, their State’s consent
  17. 17. Resolution 1977 (2011) - Highlights, Achievements, & Challenges - (6)• Requests the 1540 Committee to continue 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 Thematic refinement of outreach remains Thematic refinement of outreach remains challenging. challenging. Out of the 45 outreach events attended by the Out of the 45 outreach events attended by the Implementing 1540 Committee in 2012, only two* specifically 1540 Committee in 2012, only two* specifically UN Security addressed biological or chemical areas of addressed biological or chemical areas of Council Resolution Africa Regional Biosafety and implementing resolution 1540 but neither were implementing resolution 1540 but neither were 1540 to Biosecurity Workshop combat the exclusively focused on 1540. exclusively focused on 1540. proliferation on Implementation of UN Security Council of biological Resolution 1540, weapons, Nairobi, Kenya*Technical meeting on the implementation of BWC and UNSCR 1540-organized by the Ecuador MoD, Geneva,VERTIC, UNLIREC and UNODA; and the International meeting on chemical safety and security,organized by Poland, OPCW, and the G8 GP, respectively Switzerland
  18. 18. Conclusions (1)• There is an upward trend on implementing resolution 1540 (2004) but challenges still remain• Still no “universality” on first reports submitted by Member States• Promoting the sharing 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 assistance, challenges on knowledge assistance management remain• Member States offered assistance not only to other Member States but to civil society as well; there is no clear perspective on how the requests or offers of well assistance from NGOs will be addressed by the 1540 Committee• Many Member States still experience difficulties in linking offers of assistance with their own needs related to specific operative paragraphs of resolution 1540 (2004)
  19. 19. Conclusions (2)• Thematic 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 review not yet started• The 1540 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)
  20. 20. “The 1540 Committee has a key role to play in ensuringthat the world is a safe place and in allowing people inevery country to pursue their lives free of fear ofcatastrophic attack by non-State actors. Let us sustainour efforts to counter the threats of proliferation ofnuclear, chemical and biological weapons and theirmeans of delivery……International and regional organizations have come toplay an essential role in assisting national efforts. The UN Secretary General, BanI also welcome the increasingly prominent role that the Ki-Moon Remarks at dinner hosted by1540 Committee attaches to partnership with civil the permanent representativesociety. of Saudi Arabia on the occasion of the high-level event on Security Council resolution 1540 (2004)Those voices, be they from non-governmental New York, 10 December 2012organizations, academia or industry, have much tocontribute. I am encouraged by the initiative of Austriato convene, next month in Vienna, the first civil societyforum in support of resolution 1540…”
  21. 21. Contact information: Dr. Dana Perkins 1540 Committee Expert United Nations 300 E 42nd St., Suite IN-03074H Tel: +1 (917) 367 6023 (office) E-mail: perkinsd@un.org 1540 Experts Collective E-mail: 1540experts@un.org 1540 Committee Chairman /Secretariat of the 1540 Committee: sc-1540-Committee@un.org 1540 Committee website: http://www.un.org/sc/1540

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