International framework: UNSC Resolution 1540 (2004) Nicolas Kasprzyk - - PDF document

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International framework: UNSC Resolution 1540 (2004)

Nicolas Kasprzyk 1540 Committee expert United Nations, 1540 Committee group of experts

Background

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• Resolution 1540 was adopted 28 April 2004 by the UN Security

Council, under Chapter VII of the UN Charter

• Creates obligations for all States to take a series of steps to prevent

the proliferation of WMD and their means of delivery to non‐State actors

• Although the resolution does not focus on proliferation financing, it

created important obligations in this area, with a long‐lasting and significant impact

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Background

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One of the many cargo vessels cruising off Doha on 12 December 2013

• Increasing flows of goods,

materials and equipments, in a context of intensification of international exchanges

Vessels cruising off Doha on 12 December 2013, on the basis

• f

data collected through IMO’s Automatic Identification System. Cargo vessels appear in green (cartography: http://www.marinetraffic.com)

• Increasing financing activities in

relation with materials, equipments and technologies which could be used for WMD purposes

Background

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• Diffusion of technologies and

know‐how, increasingly available to non‐State actors

• Scientific and technological

developments that change the nature of the threat

• Dual‐use activities / research

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Background

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• A few recent examples, illustrating non‐State actors/CBRN links

Background

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• A few recent examples, illustrating non‐State actors/CBRN links

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Key facts

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• Resolution 1540 calls for measures aimed at preventing the

involvement of non‐States actors in proliferation activities.

• Each State decides for itself how to implement resolution 1540. The

resolution says what to do, not how.

• In adopting resolution 1540, the Security Council recognized that the

primary responsibility for fighting WMD proliferation and potential terrorist use of WMD rests with UN member States themselves.

Key facts

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• The 1540 Committee does not prescribe standards. However, it is

mandated by the UN Security Council to identify and compile effective practices in all areas covered by resolution 1540, in order to make them widely available and facilitate the implementation of the resolution by States.

• States and international, regional and sub‐regional organizations have

been invited by the 1540 Committee (November 2013 letter) to share with it any relevant experiences, lessons learned and effective practices in all areas covered by resolution 1540, including on

– measures to prevent proliferation financing; – initiatives, programs and tools to work with and inform the private sector; – national coordination mechanisms.

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Obligations

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Three key obligations for States: 1. Refrain from providing support to non‐state actors (Operative Paragraph 1 of R. 1540) 2. Adopt legislation establishing prohibitions ( Operative Paragraph 2

• f R. 1540)

3. Establish domestic controls ( Operative Paragraph 3 of R. 1540)

Obligations

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Definitions, for the purpose of resolution 1540: Related materials: materials, equipment and technology covered by relevant multilateral treaties and arrangements, or included on 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. Means of Delivery: missiles, rockets and other unmanned systems capable of delivering nuclear, chemical, or biological weapons, that are specially designed for such use. Non‐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.

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Obligations

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Operative paragraph 1 of resolution 1540: All States shall 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 weapons and their means of delivery

Obligations

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Operative paragraph 2 of resolution 1540: All States, in accordance with their national procedures, shall adopt and enforce appropriate effective laws which prohibit any non‐State actors to manufacture, acquire, possess, develop, transport, transfer

• r use nuclear, chemical or biological weapons and their means of

delivery, in particular for terrorist purposes, as well attempts to engage in any of the foregoing activities, participate in them as accomplice, assist or finance them

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Obligations

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Operative paragraph 3 (a) and (b) of resolution 1540: All States shall take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical

• r biological weapons and their means of delivery, including by

establishing appropriate controls over related materials and to this end shall:

• Develop and maintain appropriate effective measures to

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

• Develop and maintain appropriate effective physical protection

measures

Obligations

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Operative paragraph 3 (c) and (d) of resolution 1540: All States shall take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical

• r biological weapons and their means of delivery, including by

establishing appropriate controls over related materials and to this end shall:

• Develop and maintain appropriate effective border controls and

law enforcement efforts to detect, deter, prevent and combat the illicit trafficking and brokering in such items;

• Establish […] effective national export and trans‐shipment

controls […] and controls on providing funds and services related to such export and trans‐shipment such as financing … as well as […] end‐user controls

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Key features

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• 1. National control lists

Operative paragraph 6 of resolution 1540: Recognizes the utility in implementing this resolution of effective national control lists and calls upon Member States, when necessary, to pursue at the earliest opportunity the development of such lists

Key features

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• 2. Collaboration with industry and public

Operative paragraph 8 (d) of resolution 1540: Calls upon all States to develop appropriate ways to work with and inform industry and the public

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Key features

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• 3. Submission of reports / additional information

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 States that have already submitted such report are encouraged to provide additional information when appropriate or upon the request of the 1540 Committee

Key features

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• 4. National implementation action plans

States are encouraged to prepare on a voluntary basis national implementation action plans (NAP), with the assistance of the 1540 Committee as appropriate, mapping out their priorities and plans for implementing resolution 1540 Seven NAP have been submitted as at 12 December 2013: Argentina, Belarus, Canada, France, Kyrgyzstan, Serbia, U.S.A. Several States informed the 1540 Committee/experts of ongoing preparation of a NAP

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Key features

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• 5. Assistance and capacity‐building

The Security Council recognizes that some States may require assistance in implementing resolution 1540, and invites those in a position to do so to offer assistance The 1540 Committee‘s primary role is as a clearinghouse and a match‐maker to facilitate assistance by others for implementation of the Resolution Measures to prevent proliferation financing, to work with and inform the industry, and to establish coordination mechanisms may be areas in which partnerships / assistance / sharing of experience are acutely needed

Key features

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• 6. International cooperation

The Security Council “encourages international, regional and sub‐regional

• rganizations to enhance cooperation and

information sharing with the 1540 Committee on technical assistance and all

• ther

issues

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relevance for the implementation of resolution 1540” (resolution 1977)

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Key features

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• 6. International cooperation

“Organisations such as the Financial Action Task Force (FATF) play a key role in developing relevant guidance and can usefully assist States in their efforts. The Committee noted with appreciation the adoption of revised standards by FATF in February 2012, and in particular its important Recommendation 2 that addresses the matter of proliferation financing.” Message by the Chair of the 1540 Committee, H.E. Mr. Kim Sook,

• n the occasion of the International Arab

Banking Summit 2013

Key features

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• 6. International cooperation
• Fruitful cooperation between the 1540 Committee experts and FATF in

FATF developing guidance related to proliferation financing in the context

• f resolution 1540:

– June 2008 Typologies Report on Proliferation Financing – April 2010 Combatting Proliferation Financing: Status Report on Policy Development and

Consultation

– February 2012 FATF Recommendations, and in particular Recommendation 2 – March 2012 Best Practices Paper on Recommendation 2: Sharing among domestic

competent authorities information related to the financing of proliferation

– February 2013 Methodology for assessing technical compliance with the FATF

Recommendations and the effectiveness of AML/CFT systems

– June 2013 FATF Guidance: the Implementation of Financial Provisions of UNSCRs to

Counter the Proliferation of Weapons of Mass Destruction

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Conclusion

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“While the status of implementation of the resolution continues to improve since 2004, much work remains to be done and the gravity of the threat remains considerable. To fully implement the resolution requires a long- term effort by States to meet all the requirements and recommendations of the resolution” Report of the 1540 Committee to the Security Council, September 2011

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Presenter:

Nicolas Kasprzyk 1540 Committee expert United Nations 300 E 42nd St., Suite IN‐03071 Tel: +1 (917) 367 9344 (office) E‐mail: kasprzyk@un.org

Contact information:

1540 Committee Group of experts: Email: 1540experts@un.org Chairman of the 1540 Committee: Secretariat of the 1540 Committee Attention: Chair, 1540 Committee Secretariat Building, Room S-3055-I United Nations, New York, NY 10017 Fax: +1 212 963-1300; Email: sc-1540-Committee@un.org 1540 Committee website: http://www.un.org/sc/1540