United Nations Security Council Resolution 1540: Voluntary National Implementation Action Plans Dana Perkins, PhD 1540 Committee Expert Armenia National Roundtable on Implementation of Resolution 1540 (2004) 24-26 26 September 2013 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
Legally binding obligations on all States under Resolution 1540 (2004), to: 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 Adopt and enforce appropriate effective laws prohibiting activities involving the proliferation of such weapons and their means of delivery to non-state actors, in particular for terrorist purposes, as well any attempts to engage in such activities, assist or finance them Implement and enforce appropriate controls over related materials in order to: Account for and secure items in production, use, storage or transport; Physically protect; Detect, deter, prevent and combat the illicit trafficking and brokering through effective border controls an law enforcement efforts; Control the export, transit, trans-shipment shipment and re-export export and the provision of funds and services related to such export and trans-shipment that would contribute to proliferation; Penalize violations. Resolution 1540 (2004): A Response to Threats to Peace and Security
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 Related materials: materials, equipment and technology covered by relevant multilateral treaties and arrangements, or included i 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 Definitions for the purpose of resolution 1540 (2004)
[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) The 1540 Committee established pursuant to resolution 1540 (2004) is a subsidiary body of the Security Council The current Group of Experts was established per resolutions 1977 (2011) and 2055 (2012) to assist the Committee in carrying out its mandate 1540 Committee Chair (ROK) 1540 Committee Member 1540 Group of Experts Member
NATIONAL DISCRETION: Resolution 1540 (2004) identifies the obligations, States decide how to implement these obligations COOPERATIVE APPROACH: The 1540 Committee is NOT a sanctions committee. It facilitates implementation through cooperation, dialogue, and as a clearinghouse for 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
UN Security Council UN Department of Political Affairs UN Office for Disarmament Affairs Regional and sub-regional seminars and workshops Monitoring & national implementation 1540 Committee Assistance Cooperation with international organizations, including the Security Council committees established pursuant to resolutions 1267 (1999) and 1373 (2001) Group of Experts Transparency & media outreach The 1540 Architecture
Monitoring national implementation Assistance and cooperation Transparency and outreach Reporting to the Security Council States national reports and updates States national points of contact States voluntary national action plans Visits to States at their invitation Country-specific activities and dialogue Committee s 1540 matrix The Group of Experts supports the process Matchmaking of requests and offers of assistance Cooperation with SC committees 1267 & 1373 and international/ regional organizations The 1540 Process Committee members and experts participation in outreach events 1540 Committee website 1540 Compass journal Committee s s annual Program of Work Annual review on the implementation of resolution 1540 (2004) Biannual briefing on cooperation between the SC committees 1267, 1373, and 1540
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 States with two or more reports: 110 Reporting States:171 Non- reporting States: 22 Armenia reported to to the the 1540 Committee in in 2004, 2005, and and 2007. Armenia has has yet yet to to submit information regarding national point of of contact States with one report: 61 Status of reporting to the 1540 Committee (data as of 22 September er 2013)
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 The 1540 Matrix
http://www.un.org/en/sc/1540/national-implementation/1540-matrix/committee-approved-matrices.shtml Committee-approved matrices are posted online (all matrices are currently being updated)
[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 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 National Implementation Action Plans
A 1540 Action Plan or a National Implementation Action Plan is a voluntary proposal which identifies priorities for action within Ministries s and across government for effective implementation of resolution 1540 (2004) A National Implementation Action Plan benefits from an inter-ministerial coordination of priorities thus ultimately leading to the effective implementation of the required legislative and enforcement measures No one size fits all ; ; priorities vary from State to State; different models exist for choosing priorities, considering inter alia: Strategic issues and/or Greatest threats and vulnerabilities Coordination across Ministries also serves to pinpoint specific or cross-sectoral sectoral areas that need to be strengthened and/or require the preparation of a Request for Assistance The inter-agency/inter-ministerial process of drafting a National Implementation Action Plan is in itself value-added to intra-governmental coordination What is a 1540 Action Plan?
Six elements for a successful action plan process
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 BWspecific, 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
[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, arrangements, rangements, statements and other issues: Nuclear Non Proliferation Treaty (NPT) Nuclear Non Proliferation Treaty (NPT) Nuclear Weapons Free Zone/ Protocol(s) Nuclear Weapons Free Zone/ Protocol(s) Convention for the Suppression of Acts of Nuclear Terrorism Convention for the Suppression of Acts of Nuclear Terrorism Convention on Physical Protection of Nuclear Material (CPPNM) Convention on Physical Protection of Nuclear Material (CPPNM) 2005 Amendment to the CPPNM 2005 Amendment to the CPPNM Comprehensive Nuclear Test Ban Treaty (CTBT) (not in force) Comprehensive Nuclear Test Ban Treaty (CTBT) (not in force) Chemical Weapons Convention (CWC) & Biological Weapons Convention (BWC) Chemical Weapons Convention (CWC) & Biological Weapons Convention (BWC) Geneva Protocol of 1925 Geneva Protocol of 1925 Other Conventions/Treaties / Arrangements Other Conventions/Treaties / Arrangements International Atomic Energy Agency (IAEA) International Atomic Energy Agency (IAEA) Hague Code of Conduct (HCOC) Hague Code of Conduct (HCOC) General statement on non possession of WMD General statement on non possession of WMD General statement on commitment to disarmament and non proliferation General statement on commitment to disarmament and non proliferation General statement on non provision of WMD & related materials to non State actors General statement on non provision of WMD & related materials to non State actors Other membership in relevant international, regional or sub regional organizations Other membership in relevant international, regional or sub regional organizations Conducting a gap analysis using the 1540 matrix illustrative example on OP 1 and related matters from OP 5, OP 6, OP 8 (a), (b), (c) and OP 10
Excerpts from Armenia s s report to the 1540 Committee (dated 09 Nov 2004)
OP 2 Nuclear Weapons (NW), Chemical Weapons (CW) and Biological Weapons (BW): Does national legislation exist which prohibits persons or entities to engage in one of the following activities? Can violators be penalized? [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 Manufacture/produce Manufacture/produce Acquire Acquire Possess Possess Stockpile/store Stockpile/store Develop Develop Transport Transport Transfer Transfer Use Use Participate Participate as as an an accomplice accomplice in in a.m. a.m. activities activities Assist Assist in in a.m. a.m. activities activities Finance Finance a.m. a.m. activities activities A.m. A.m. activities activities related related to to means means of of delivery delivery Involvement Involvement of of non State non State actors actors in in a.m. a.m. activities activities Other Other Conducting a gap analysis using the 1540 matrix illustrative example
Excerpts from Armenia s s report to the 1540 Committee (dated 09 Nov 2004)
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 of 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 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 Resolution 1540 (2004): How to Request or Offer 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 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. Overview of Requests for Assistance
As of 22 Sep 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. Overview of Offers for Assistance
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. The 1540 Committee as a clearinghouse for assistance - - Illustrative Example - -
Excerpts from Armenia s 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 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 http://www.un.org/en/sc/1540/assistance/offers-of-assistance/assistance-programmes.shtml Cooperation with International, Regional and Subregional Organizations and Other Arrangements
Dana Perkins, PhD 1540 Committee Expert United Nations 300 East 42 nd St., Suite IN-03074H New York, NY 10017 Tel: +1 (917) 367 6023 (office) E-mail: PerkinsD@un.org Collective e-mail: e 1540experts@un.org Website: http://www.un.org/sc/1540 Contact information