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WORKSHOP ON THE IMPLEMENTATION OF RESOLUTION 1540 (2004) METHODOLOGIES FOR REPORTING

INTRODUCTION TO RESOLUTION 1540 (2004) PRETORIA, SOUTH AFRICA, 10-11 APRIL 2014

ENRIQUE OCHOA

MEMBER GROUP OF EXPERTS ASSISTING THE UNITED NATIONS SECURITY COUNCIL 1540 COMMITTEE

The views expressed are those of the presenter and do not necessarily represent the views of the 1540 Committee

REPORTING

Resolution 1540 (2004) “4. ….calls upon States to present a first report no later than six months from the adoption of this resolution to the Committee on steps they have taken or intend to take to implement this resolution” Resolution 1673 (2006) “3. 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)” Resolution 1977 (2011) “7. …….including, voluntarily, on States' effective practices” Resolution 2118 (2013) “14. Decides that Member States shall inform immediately the Security Council

• f any violation of resolution 1540 (2004),

REPORTING

• KEY ELEMENTS

– Voluntary on 1540 implementation – Obligatory regarding violations of resolution 1540 (2004) – No specific format – Some States use 1540 Matrix as a reporting tool – Focus on steps taken or steps to be taken to implement resolution – Provide any additional information – Inform the Committee of States’ effective practices in implementing resolution REPORTING STATISTICS – 172 National Reports submitted – 21 States yet to submit a report – 17 of these States from Africa – 3 of these States from Asia – 1 State from Caribbean

REPORTING

• VALUE OF REPORTING

– Provides accurate information on status of implementation – Provides opportunity for States to inform the Committee of what they have done or intend to do to meet 1540 obligations and of specific assistance needs – Provides the Committee with information to guide their dialogue with States – Provides the Committee with information on where assistance may be required

• In use since 2005. Primary method used by the 1540 Committee to organize

information about 1540 implementation by Member States

• Reference tool for facilitating technical assistance and enhanced dialogue with
• States. Not a tool for measuring compliance of States with their non-proliferation
• bligations
• Information on voluntary commitments is for reporting purpose only and does not

constitute in any way a legal obligation arising from resolution 1540 or its successive resolutions

• Origin of Information: National Reports, Official Government Information,

Intergovernmental Organizations

• 1540 Group of Experts prepare Matrix for each UN Member State. Approval by the

1540 Committee.

• Last approval done in 2010, updating a continues process. Posted on 1540

website with State’s consent.

1540 MATRIX OVERVIEW

1540 MATRIX OVERVIEW

• Matrix covers 5 Main Areas (Worksheets):

– OP 1 and related matters from OP 5, OP 6, OP 8 (a), (b), (c) and OP 10 – OP 2 – OP3 (a) and (b) – OP3 (c) and (d) – OP 6, 7 and 8 (d)

• Total of 389 fields. OP 2 and OP 3 also include two additional fields on National

Legal Framework and Enforcement

• Each Field has 3 possible entries. Not indicative of compliance, evidence only

– X: Relevant measure taken or specific reference found – ?: Measure taken but question about pertinence or copy of legislation not available – Blank: No information

• Legal, Technical, Scientific

Developments since 2005 require Template review

• 2013 Approved New Template

– Reduced number of pages (18 to 12) and follows resolution structure (BCN to NCB) – Four Explanatory notes (Explaining “Other” and Description of Delivery System and related Materials – One Hyperlink to BWC CBM First Worksheet Re-ordered: Legally binding instruments, codes of conduct, arrangements, Statements Worksheets on OP2 and OP3 One table in each section containing the common areas of the nuclear, chemical and biological weapons fields, thus giving a simplified view of these fields Worksheet on OP6, 7 and 8(d) Additional fields: Engagement with Industry, Information on Points of Contact

1540 MATRIX OVERVIEW

1540 MATRIX OVERVIEW

ADHERENCE BY AFRICAN STATES TO NON-PROLIFERATION INSTRUMENTS RELEVANT TO RESOLUTION 1540 (2004)

72% - Biological Weapons Convention (BWC) 91% - Chemical Weapons Convention (CWC) National Authority 79% - Comprehensive Nuclear-Test-Ban Treaty (CTBT) 98% - Nuclear Non-Proliferation Treaty 63% - Convention

• n the Physical

Protection of Nuclear Material (CPPNM) 63% - 1925 Geneva Protocol (GP) 83% - International Atomic Energy Agency (IAEA) 80% - IAEA Safeguards Agreement 67% - Hague Code of Conduct (HCOC) 67% - Nuclear- Weapon Free Zones

36 36 43 45 34 34 53 42 49 39

20 40

Nuclear-Weapon Free Zones Hague Code of Conduct (HCOC) IAEA Safeguards Agreement International Atomic Energy Agency (IAEA) Geneva Protocol (GP) Convention on the Physical Protection of Nuclear Material (CPPNM) Nuclear Non-Proliferation Treaty Comprehensive Nuclear-Test-Ban Treaty Chemical Weapons Convention (CWC) National Authority Biological Weapons Convention (BWC)

54

TREATIES OTHERS

General statements on: Non‐possession of WMD Commitment to disarmament and non‐proliferation Non‐provision of WMD and related materials to non‐State actors

Possible elements to be included in a 1540 report

Possible elements to be included in a 1540 report

Legally binding instruments, organizations, codes of conduct, arrangements, statements and other issues. Nuclear weapons 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) International Atomic Energy Agency (IAEA) Chemical weapons Chemical Weapons Convention (CWC)

Biological weapons

• Biological Weapons Convention (BWC)
• Geneva Protocol of 1925

Other Conventions/Treaties the 2005 International Convention for the Suppression of Acts of Nuclear Terrorism, the 1997 International Convention for the Suppression of Terrorist Bombings, the 2005 Protocol to the Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation, the 2005 Protocol to the Protocol for the Suppression of Unlawful Acts against the Safety of Fixed Platforms located on the Continental Shelf and the 2010 Convention on the Suppression of Unlawful Acts relating to International Civil Aviation. Hague Code of Conduct (HCOC)

National legislation Legislation that prohibits persons or entities to engage in one of manufacture/produce, acquire, possess, stockpile/store, develop, transport, transfer, use, participate as an accomplice in abovementioned activities, assist in abovementioned activities, finance the following activities related to WMD. Penalties? (Criminal code) Measures, procedures or legislation in place to account for, secure or otherwise protect NW, CW, BW and related Materials. Penalties? (Criminal code)

Nuclear field National regulatory authority IAEA Safeguards Agreements IAEA Code of Conduct on Safety and Security of Radioactive Sources Supplementary Guidance on the Import and Export of Radioactive Sources of the Code

• f Conduct on the Safety and Security of Radioactive Sources

IAEA Database on Illicit Trafficking of Nuclear Materials and other Radioactive Sources Other Agreements related to IAEA Additional national legislation/regulations related to nuclear materials including CPPNM Chemical field National CWC authority Reporting Schedule I, II and III chemicals to OPCW Legislation/ regulations controlling chemical materials

Biological field Regulations for genetic engineering work Legislation/ regulations related to safety and security of biological materials Legislation, procedures, measures, agencies exist to control border crossings, export/import and other transfers of NW, CW, BW and related materials Border control (including technical support of border control measures) Control of brokering, trading in, negotiating, otherwise assisting in sale of goods and technology Enforcement agencies/authorities Export control legislation Licensing provisions (individual, general, National licensing authority) Interagency review for licenses Contol lists End‐user controls Catch all clause Intangible transfers

Transit and trans-shipment controls Re‐export control Control of providing funds Control of providing transport services Control of importation Extraterritorial applicability Other Assistance requested Assistance in place (bilateral/multilateral) Work with and inform industry and the public Point of Contact

CONTACT DETAILS

Chair of the 1540 Committee Secretariat of the 1540 Committee Attention: Chair, 1540 Committee: H.E. Ambassador Oh Joon, Permanent Representative of The Republic of Korea to the United Nations 730 Third Avenue, TB-08040E, United Nations, New York, NY 10017 Fax: +1 (212) 963-1300, Email: sc-1540-Committee@un.org 1540 Committee Group of Experts 300 East, 42nd Street, Third Floor, New York, NY 10017 Fax:+1 (917) 367 9358, Email: 1540experts@un.org 1540 Committee Website www.un.org/sc/1540