United Nations Security Council Resolution 1540: United Nations - - PowerPoint PPT Presentation

United Nations Security Council Resolution 1540: Voluntary National Implementation Action Plans United Nations Security Council Resolution 1540: Voluntary National Implementation Action Plans

Dana Perkins, PhD Dana Perkins, PhD 1540 Committee Expert 1540 Committee Expert Armenia National Roundtable on Implementation of Resolution 1540 Armenia National Roundtable on Implementation of Resolution 1540 (2004) (2004) 24 24-

• 26 September 2013

26 September 2013 Yerevan, Armenia Yerevan, Armenia

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 Secur Resolution 1540 (2004): A Response to Threats to Peace and Security ity

Refrain from providing any form

• f support to non-State actors

that attempt to develop, acquire, manufacture, possess, transport, transfer or use nuclear, chemical

• r biological weapons

biological 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 non non-

• State actors, in particular for

State actors, in particular for terrorist purposes terrorist 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

• ver related materials

related materials in order to: Account for and secure Account 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 brokering trafficking and brokering through effective border controls an law enforcement efforts; Control the export, transit, trans Control the export, transit, trans-

• shipment

shipment and re and re-

• export and the provision of funds

export and the provision of funds and services and services related to such export and trans-shipment that would contribute to proliferation; Penalize violations Penalize 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

• Non

Non-

• 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 i covered by relevant multilateral treaties and arrangements, or included ncluded

• n national control lists
• n 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

• The 1540 Committee established

pursuant to resolution 1540 (2004) is a subsidiary body of the Security Council

• The current Group of Experts

Group of Experts was established per resolutions 1977 (2011) and 2055 (2012) “ “to to assist the Committee in carrying assist the Committee in carrying

• ut its mandate
• ut its mandate…”

…”

1540 Committee Chair (ROK) 1540 Committee Member 1540 Group of Experts Member

“[Security Council] expresses its intention to monitor closely the implementation

• f 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

• bligations, 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

The The 1540 Architecture 1540 Architecture

UN Security Council UN Security Council

Monitoring & national implementation Assistance

Cooperation with international

• rganizations, including the Security

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

Transparency & media outreach

1540 Committee 1540 Committee

Group of Experts Group of Experts

UN Office for UN Office for Disarmament Disarmament Affairs Affairs UN UN Department Department

• f Political
• f Political

Affairs Affairs

Regional and sub-regional seminars and workshops

Monitoring national Monitoring national implementation implementation

• States

States’ ’ national national reports and reports and updates updates

• States

States’ ’ national national points of contact points of contact

• States

States’ ’ voluntary voluntary national action national action plans plans

• Visits to States

Visits to States at their invitation at their invitation

• Country

Country-

• specific

specific activities and activities and dialogue dialogue

• Committee

Committee’ ’s s 1540 matrix 1540 matrix

Assistance and Assistance and cooperation cooperation Transparency and Transparency and

• utreach
• utreach

Reporting to the Reporting to the Security Council Security Council

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

• Matchmaking of

Matchmaking of requests and offers of requests and offers of assistance assistance

• Cooperation with SC

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

• Committee members

Committee members and experts and experts’ ’ participation in participation in

• utreach events
• utreach events
• 1540 Committee

1540 Committee website website

• 1540 Compass journal

1540 Compass journal

• Committee

Committee’ ’s annual s annual Program of Work Program 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 Process The 1540 Process

Status of reporting to the 1540 Committee (data as of 22 Septemb Status of reporting to the 1540 Committee (data as of 22 September 2013) er 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

Armenia reported to the 1540 Committee in 2004, 2005, and 2007. Armenia has yet to submit information regarding national point

• f contact

Armenia reported to the 1540 Committee in 2004, 2005, and 2007. Armenia has yet to submit information regarding national point

• f contact

Reporting Reporting States:171 States:171

Non Non-

• reporting

reporting States: 22 States: 22

States States with one with one report: 61 report: 61 States States with two with two

• r more
• r more

reports: reports: 110 110

The 1540 Matrix The 1540 Matrix

• A “1540 Matrix” is prepared by the

1540 Committee for each State

• A matrix has 389 “fields” covering

activities related to the operative paragraphs (OP) of the resolution

• When completed, the matrix links

the obligations of resolution 1540 (2004) with national implementation measures

Committee Committee-

• approved matrices are posted online (all matrices are currently

approved matrices are posted online (all matrices are currently being updated) being updated)

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

National Implementation Action Plans National 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

• ut 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 Implementation 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

What is a 1540 Action Plan ? What is a 1540 Action Plan ?

• A

A “ “1540 Action Plan 1540 Action Plan” ” or a

• r a “

“National Implementation Action Plan National Implementation Action Plan” ” is a voluntary is a voluntary proposal which identifies priorities for action within Ministrie proposal which identifies priorities for action within Ministries and across government s and across government for effective implementation of resolution 1540 (2004) for effective implementation of resolution 1540 (2004)

• A National Implementation Action Plan benefits from an

A National Implementation Action Plan benefits from an inter inter-

• Ministerial

Ministerial coordination of priorities coordination of priorities thus ultimately leading to the effective implementation of thus ultimately leading to the effective implementation of the required legislative and enforcement measures the required legislative and enforcement measures

• No

No “ “one size fits all

• ne size fits all”

”; priorities vary from State to State; different ; priorities vary from State to State; different models models exist for exist for choosing priorities, considering inter alia: choosing priorities, considering inter alia: – – Strategic issues and/or Strategic issues and/or – – Greatest threats and vulnerabilities Greatest threats and vulnerabilities

• Coordination across Ministries also serves to pinpoint specific

Coordination across Ministries also serves to pinpoint specific or cross

• r cross-
• sectoral areas

sectoral areas that need to be strengthened and/or require the preparation of a that need to be strengthened and/or require the preparation of a Request for Request for Assistance Assistance

• The inter-agency/inter-ministerial process of drafting a National

Implementation Action Plan is in itself value-added to intra-governmental coordination

Six elements for a successful action plan process Six elements for a successful action plan process

Conducting a gap analysis using the 1540 matrix Conducting a gap analysis using the 1540 matrix

• OP 1 and related matters from OP 5, OP 6, OP 8 (a), (b), (c) and OP 10

– Legally binding instruments, organizations, codes of conduct, arrangements, statements and other issues.

• OP 2 ‐

‐ ‐ ‐ Nuclear, Chemical, and Biological Weapons (NW, CW and BW)

– Does national legislation exist which prohibits persons or entities to engage in the specified activities ? Can violators be penalized ?

• OP 3 (a) and (b) ‐

‐ ‐ ‐ Account for/Secure/Physically protect NW, CW and BW, including Related Materials

– Are any of the following measures, procedures or legislation in place to account for, secure or otherwise protect NW, CW, BW and Related Materials? Can violators be penalized ? – OP 3 (a) and (b) ‐ ‐ ‐ ‐ Account for/Secure/Physically protect NCBW including Related Materials (NW, CW and BW- specific, respectively)

• OP 3 (c) and (d) and related matters from OP 6 and OP 10 ‐

‐ ‐ ‐ Controls of NW, CW and BW, including Related Materials

– Which of the following legislation, procedures, measures, agencies exist to control border crossings, export/import and other transfers of NW, CW, BW and Related Materials ? Can violators be penalized ?

• OP 6, 7 and 8 (d) ‐

‐ ‐ ‐ Control lists, Assistance, Information

– Can information be provided on the specific issues ?

Conducting a gap analysis using the 1540 matrix Conducting a gap analysis using the 1540 matrix – – illustrative example on OP 1 and related matters from OP 5, OP illustrative example on OP 1 and related matters from OP 5, OP 6, OP 8 (a), (b), (c) and OP 10 6, OP 8 (a), (b), (c) and OP 10

“ [OP] 1. Decides that 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…” “[OP] 10. Further to counter that threat, calls upon all States, in accordance with their national legal authorities and legislation and consistent with international law, to take cooperative action to prevent illicit trafficking in nuclear, chemical or biological weapons, their means of delivery, and related materials…” “[OP] 8. [Security Council] Calls upon all States: (a) To promote the universal adoption and full implementation, and, where necessary, strengthening of multilateral treaties to which they are parties, whose aim is to prevent the proliferation of nuclear, biological or chemical weapons; (b) To adopt national rules and regulations, where it has not yet been done, to ensure compliance with their commitments under the key multilateral nonproliferation treaties; (c) To renew and fulfil their commitment to multilateral cooperation, in particular within the framework of the International Atomic Energy Agency, the Organization for the Prohibition of Chemical Weapons and the Biological and Toxin Weapons Convention, as important means of pursuing and achieving their common objectives in the area of non-proliferation and of promoting international cooperation for peaceful purposes…” Legally binding instruments, organizations, codes of conduct, ar Legally binding instruments, organizations, codes of conduct, arrangements, statements and other issues: rangements, statements and other issues:

• Nuclear Non‐

‐ ‐ ‐Proliferation Treaty (NPT)

• Nuclear Weapons Free Zone/ Protocol(s)
• Convention for the Suppression of Acts of Nuclear Terrorism
• Convention on Physical Protection of Nuclear Material (CPPNM)
• 2005 Amendment to the CPPNM
• Comprehensive Nuclear‐

‐ ‐ ‐Test‐ ‐ ‐ ‐Ban Treaty (CTBT) (not in force)

• Chemical Weapons Convention (CWC) & Biological Weapons Convention (BWC)
• Geneva Protocol of 1925
• Other Conventions/Treaties / Arrangements
• International Atomic Energy Agency (IAEA)
• Hague Code of Conduct (HCOC)
• General statement on non‐

‐ ‐ ‐possession of WMD

• General statement on commitment to disarmament and non‐

‐ ‐ ‐proliferation

• General statement on non‐

‐ ‐ ‐provision of WMD & related materials to non‐ ‐ ‐ ‐State actors

• Other membership in relevant international, regional or sub‐

‐ ‐ ‐regional organizations

• Nuclear Non‐

‐ ‐ ‐Proliferation Treaty (NPT)

• Nuclear Weapons Free Zone/ Protocol(s)
• Convention for the Suppression of Acts of Nuclear Terrorism
• Convention on Physical Protection of Nuclear Material (CPPNM)
• 2005 Amendment to the CPPNM
• Comprehensive Nuclear‐

‐ ‐ ‐Test‐ ‐ ‐ ‐Ban Treaty (CTBT) (not in force)

• Chemical Weapons Convention (CWC) & Biological Weapons Convention (BWC)
• Geneva Protocol of 1925
• Other Conventions/Treaties / Arrangements
• International Atomic Energy Agency (IAEA)
• Hague Code of Conduct (HCOC)
• General statement on non‐

‐ ‐ ‐possession of WMD

• General statement on commitment to disarmament and non‐

‐ ‐ ‐proliferation

• General statement on non‐

‐ ‐ ‐provision of WMD & related materials to non‐ ‐ ‐ ‐State actors

• Other membership in relevant international, regional or sub‐

‐ ‐ ‐regional organizations

Excerpts from Armenia Excerpts from Armenia’ ’s report to the 1540 Committee (dated 09 Nov 2004) s report to the 1540 Committee (dated 09 Nov 2004)

Conducting a gap analysis using the 1540 matrix Conducting a gap analysis using the 1540 matrix – – illustrative example illustrative example

“ [OP] 2. [Security Council] Decides also that all States, in accordance with their national procedures, shall adopt and enforce appropriate effective laws which prohibit any non-State actor to manufacture, acquire, possess, develop, transport, transfer or use nuclear, chemical or biological weapons and their means of delivery, in particular for terrorist purposes, as well as attempts to engage in any of the foregoing activities, participate in them as an accomplice, assist or finance them…”

OP 2 ‐ ‐ ‐ ‐ Nuclear Weapons (NW), Chemical Weapons (CW) and Biological Weapons (BW): Does national legislation exist which prohibits prohibits persons or entities to engage in one of the following activities ? Can violators be penalized ?

• Manufacture/produce
• Acquire
• Possess
• Stockpile/store
• Develop
• Transport
• Transfer
• Use
• Participate as an accomplice in a.m. activities
• Assist in a.m. activities
• Finance a.m. activities
• A.m. activities related to means of delivery
• Involvement of non‐

‐ ‐ ‐State actors in a.m. activities

• Other
• Manufacture/produce
• Acquire
• Possess
• Stockpile/store
• Develop
• Transport
• Transfer
• Use
• Participate as an accomplice in a.m. activities
• Assist in a.m. activities
• Finance a.m. activities
• A.m. activities related to means of delivery
• Involvement of non‐

‐ ‐ ‐State actors in a.m. activities

• Other

Excerpts from Armenia Excerpts from Armenia’ ’s report to the 1540 Committee (dated 09 Nov 2004) s report to the 1540 Committee (dated 09 Nov 2004)

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

• Gap analysis may reveal assistance needs
• Assistance requests should be formally

submitted by States to the 1540 Committee, e.g. by using the Template on Assistance (available online at:

http://www.un.org/en/sc/1540/assistance/assistance-template.shtml )

• All correspondence relating to submission
• f requests for assistance (or updates to

existing requests) should be addressed to the Chairman of 1540 Committee and sent to the address below:

Secretariat of the 1540 Committee Secretariat of the 1540 Committee Attention: Chairman, 1540 Committee Attention: Chairman, 1540 Committee 730 Third Avenue, TB-08040E, United Nations, New York, NY 10017 Fax: +1 (212) 963-1300 Email: sc-1540-Committee@un.org

Overview of Requests for Assistance Overview of Requests for Assistance

• As of 22 Sep 2013, 53 States and

two Regional / Subregional Organisations have requested assistance

• Sources of requests: National

reports, National Implementation Action Plans, Notes Verbale, use

• f 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.

Overview of Offers for Assistance Overview of Offers for Assistance

• As of 22 Sep 2013, 46 States have offered

assistance

• The 1540 website also posts information
• n Assistance Programmes and Offers

from International, Regional and Subregional Organizations and Other Arrangements

• Some States have both requested and
• ffered assistance
• Assistance is offered on a bilateral basis

and/or through international organizations

• Overall range: cooperation programs,

specific measures, case-by-case basis etc.

The 1540 Committee as a clearinghouse for assistance The 1540 Committee as a clearinghouse for assistance -

• -
• Illustrative Example

Illustrative Example -

• -
• Armenia (Date of Request: 4 April 2008)

Related to Operative Paragraph 3 (b) of the resolution (physical protection): 1. Upgrade the physical protection of the Armenian nuclear power plant. Related to Operative Paragraph 3 (c) of the resolution (border controls): 1. Provision of sophisticated radioactive, chemical & biological detection equipment. 2. Organizing professional training and exercises, including international activities.

Letter from Russian Federation dated 29 May 2009 on Armenia’s assistance request: “…The Russian Federation intends to participate in the projects to enhance the safety of the Armenian nuclear power station within the framework of the IAEA technical cooperation programme for 2009-2011. For this purpose, the Russian Federation has allocated 240 million rubles to the Agency's extrabudgetary fund. We have the regulatory and technical documents on organizing the monitoring and supervision of the implementation of the appropriate effective measures for the physical protection of nuclear material as well as the measures to ensure the safety and security of radioactive sources recommended in the IAEA code of conduct. These documents can be provided to the Armenian side, if it is interested, within the framework of the provision of assistance to Yerevan through the aforementioned fund. With regard to the training of personnel, this work is carried out by the Russian side through IAEA regional training courses (in the city of Obninsk), where 21 specialists from Armenia were trained. 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 if these questions are of relevance for the Armenian side.”

Excerpts from Armenia Excerpts from Armenia’ ’s report to the 1540 Committee (dated 09 Nov 2004) s report to the 1540 Committee (dated 09 Nov 2004)

• Due to their specialized expertise and regional awareness, relevant

international, regional and subregional organizations have a crucial role crucial role in supporting the implementation of resolution 1540 (2004) and assisting Member States, within their mandates

• Currently, the following International, Regional and Subregional Organizations

and Other Arrangements have registered Assistance Programmes and Offers with the 1540 Committee:

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

Cooperation with Cooperation with International, Regional and Subregional Organizations and Other Arrangements

http://www.un.org/en/sc/1540/assistance/offers-of-assistance/assistance-programmes.shtml

Dana Perkins, PhD Dana Perkins, PhD

1540 Committee Expert 1540 Committee Expert United Nations United Nations 300 East 42 300 East 42nd

nd St., Suite IN

St., Suite IN-

• 03074H

03074H New York, NY 10017 New York, NY 10017 Tel: +1 (917) 367 6023 (office) Tel: +1 (917) 367 6023 (office) E E-

• mail:

mail: PerkinsD@un.org erkinsD@un.org

Contact information Contact information

Collective e Collective e-

• mail: 1540experts@un.org

mail: 1540experts@un.org Website: http://www.un.org/sc/1540 Website: http://www.un.org/sc/1540