Biological Risk Management and United Nations Security Council Resolution 1540 Dana Perkins, PhD 1540 Committee Expert American Association for the Advancement of Science 18 October 2013, Washington, DC 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) Adopted under Chapter VII of UN Charter: 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 Visit of 1540 expert at the Volpentest HAMMER Training and Education Center, 5-7 Feb 2013, Richland, USA Non-State actor: individual or entity individual or entity, not acting under the lawful authority of any State in conducting activities which come within the scope of this resolution US NIH Biosafety and Bicocontainment Training Program- Dana Perkins personal photo 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 Definitions for the purpose of resolution 1540 (2004)
Two R-400A bombs photographed by UNSCOM inspectors at Murasana Airfield near the Al Walid Airbase in late 1991 bearing the markings indicating they were to be filled with botulinum toxin - http://www.fas.org/irp/cia/product/iraq_oct_2002.pdf http://www.unog.ch/80256ee600585943/(httppages)/29b727532fecbe96c12571860035a6db?opendocument Anthrax cultures: CDC/Dr. James Feeley, Public Health Image Library #1165 Anthrax Leahy Letter Powder: FBI (public domain) Illustrative Example Gruinard Island: Site of British anthrax experiment during WWII Source: http://www.gifte.de/gruinard_island_bild01.htm
Resolution 1540 (2004) imposes obligations under Chapter VII to deal with the threat to peace and security posed inter alia by links between terrorism, non-state actors and WMDs The Security Council has encouraged States to unilaterally define terrorism in national law While not expressly framed as a definition, the Security Council recalls that the following acts are never justifiable:... criminal acts, including against civilians, committed with the intent to cause death or serious bodily injury, or taking of hostages, with the purpose to provoke a state of terror in the general public or in a group of persons or particular persons, intimidate a population or compel a government or an international organization to do or to abstain from doing any act, which constitute offences within the scope of and as defined in the international conventions and protocols relating to terrorism and calls upon all States to prevent such acts Security Council resolution 1566 (2004) Resolution 1540 (2004) and anti-terrorism terrorism provisions
Excerpts from the Philippines National report to the 1540 Committee, 02 July 2013 Anti-terrorism terrorism provisions and biosecurity in national reports to the 1540 Committee
[Security Council] calls upon States to renew and fulfill their commitment to multilateral cooperation, in particular within the framework of the I n t ernational 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 [and] p r o m o t e t h e u n i v e r s a l a d o p t i o n a n d f ull i m p l e m e n t a t i o n, a n d, w h e r e n e c e s s a r y, strengthening of multilateral treaties to which they are parties, whose aim is to prevent the proliferation of nuclear, biological or chemical weapons Security Council Resolution 1540 (2004) Security Council Meets on Non-Proliferation of WMDs UN Photo: Eskinder Debebe,, 28 April 2004 BWC and resolution 1540 (2004) are mutually reinforcing
[BWC States Parties] noted that information provided to the United Nations by states in accordance with Resolution 1540 may provide a useful resource for States Parties in fulfilling their obligations u n d e r t h i s A r t i c l e [ 4 ] Final Declaration of BWC States Parties at the 7th Review Conference The Seventh Review Conference of the Biological Weapons Convention, on, 5-22 December 2011, Photo: Dana Perkins BWC and resolution 1540 (2004) are mutually reinforcing
The 1540 Committee was invited for the first time to p r e s e n t i n t h e B W C p l e n a r y, proving the C h a i r s m o t t o o f bringing in more voices t o t h e B W C f o r u m 1540 presentation at the BWC MX, 15 August 2013 / Photo: James Revill Current and former 1540 experts at the 2013 BWC MX / Photo: Lela Bakanidze BWC Meeting of Experts, 12-16 16 August 2013
http://www.unog.ch/80256edd006b8954/(httpassets)/4fca57b69503a1dcc1257bf2003b4a6a/$file/advance-bwc_msp_2013_mx_3-report.pdf Report of the 2013 BWC Meeting of Experts
Global cooperation in upholding resolution 1540 is vital in preventing WMD proliferation and terrorism. I appreciate the Security Council 1540 Committee s contributions to this great cause. Participants at the nuclear security summit, both in Washington D.C. and Seoul, have expressed overwhelming support for the work of this resolution. The United Nations and its Member States are working hard to ensure that weapons of mass destruction are never used again by anyone, anywhere Secretary-General Ban Ki-Moon, remarks at event on "Preventing the Proliferation of Weapons of Mass Destruction to Non- State Actors : The Implementation of Resolution 1540 (2004) in the Arab World, hosted by the Permanent Mission of Saudi Arabia to the United Nations, 22 April 2013 http://www.unmultimedia.org/radio/english/2013/04/the-possibilitythat-terrorist-groups-could-obtain-weapons-of-mass-destructionshould-not-be-dismissed-as-a-fiction-ban/
[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 1540 Committee and its Group of Experts
[The Security Council] decides that Member States shall inform immediately the Security Council of any violation of resolution 1540 (2004), including acquisition by non-state actors of chemical weapons, their means of delivery and related materials in order to take necessary measures therefore - Security Council Resolution 2118 (2013) Members of the Security Council vote on resolution 2118 UN Photo/Mark Garten (27 September 2013) The use of BW (or CW) would constitute prima facie evidence of a breach of international obligations
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
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)
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? 1540 matrix main sections
Measures to account for / secure production, use, storage, and transport of BW and related materials EXCERPT FROM THE NEW MATRIX TEMPLATE Regulations for physical protection of facilities / materials / transports Licensing / registration of facilities / people handling bio materials Reliability check of personnel Measures to account for / secure / physically protect means of delivery Regulations for genetic engineering work Other legislation / regulations related to safety and security of biological materials Reference to BWC CBMs fields for accounting/securing/physically protecting BW - related materials 1540 Matrix fields for accounting/securing/physically protecting BW
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: 111 States with one report: 60 Reporting States:171 Non- reporting States: 22 List List of of States States yet yet to to submit submit a first first report report as as of of 17 17 October October 2013 2013 1. 1. Cape Cape Verde Verde 2. 2. Central Central African African Republic Republic 3. 3. Chad Chad 4. 4. Comoros Comoros 5. 5. DPRK DPRK 6. 6. Equatorial Equatorial Guinea Guinea 7. 7. Gambia Gambia 8. 8. Guinea Guinea 9. 9. Guinea-Bissau Guinea-Bissau 10. 10. Haiti Haiti 11. 11. Lesotho Lesotho 12. 12. Malawi Malawi 13. 13. Mali Mali 14. 14. Mauritania Mauritania 15. 15. Mozambique Mozambique 16. 16. Sao Sao Tome Tome and and Principe Principe 17. 17. Solomon Solomon Islands Islands 18. 18. Somalia Somalia 19. 19. Swaziland Swaziland 20. 20. Timor-Leste Timor-Leste 21. 21. Zambia Zambia 22. 22. Zimbabwe Zimbabwe Status of reporting to the 1540 Committee (data as of 17 Oct 2013)
National report- illustrative example
[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) Armenian national roundtable to discuss the implementation of resolution 1540 (2004) and Armenia s National Implementation Action Plan, organized by the Government of Armenia and OSCE in cooperation with UNODA, 24-26 Sep 2013, Yerevan, Armenia / Photo: Armenian Ministry of Foreign Affairs National 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 Plan drafting session with the representatives of Bosnia and Herzegovina s ministries and agencies, organized by the OSCE in cooperation with UNODA, 3-5 April 2013, Vienna, Austria / Photo: OSCE National Implementation Action Plans
National Implementation Action Plans -- Excerpts --
[Security Council] encourages the 1540 Committee, with the support of necessary relevant expertise, to actively engage in dialogue with States on the implementation of resolution 1540 (2004), including through visits to States at their invitation Security Council Resolution 1977 (2011) States visited up to date: United States (2011); Albania (2012); Madagascar (2012); Republic of the Congo (2012); Trinidad and Tobago (2013); Grenada (2013) Upcoming visits: Burkina Faso, Republic of Korea, Republic of Moldova, and Mozambique Trinidad and Tobago visit: Acting Prime Minister Winston Dookeran, right, speaks to Ambassador Kim Sook, former chairman of the UN Security Council 1540 Committee - Photo: Jermaine Cruickshank US visit, Department of Health and Human Services, National Institutes of Health, BSL-4 training facility - Photo: Dana Perkins 1540 Committee Visits to States
1540 Peer review conducted by Croatia and Poland, organized by the Governments of Croatia and Poland and supported by UNODA, 17-19 19 June 2013, Zagreb, Croatia & 2-42 4 October 2013, Warsaw, Poland 1540 Peer Review
Assistance requests should be formally submitted by States to the 1540 Committee, e.g. by using the Template on Assistance States and International, Regional and Subregional Organisations are urged to inform the Committee about areas in which they are able to provide assistance and also provide point of contact information Secretariat of the 1540 Committee Attention: Chairman, 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 Resolution 1540 (2004): How to Request or Offer Assistance
As of 17 October 2013, 54 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. 16 States specifically requested assistance in the bio area (Albania, Algeria, Armenia, Bahamas, Barbados, Colombia, DR Congo, Ecuador, Grenada, Guatemala, Iraq, Kenya, Kyrgyzstan, Mexico, Philippines, and Uganda) Overview of Requests for Assistance
Welcomes proposals to establish both effective international cooperation mechanisms for investigating suspicious outbreaks of diseases and procedures for addressing concerns relating to compliance with the [Biological Weapons] Convention, as well as, inter alia, proposals to train personnel to work as part of international rapid response teams in the event of biological emergencies. The general areas identified include: (a) Drafting of legislation; (b) Mechanisms for accounting for and securing nuclear, chemical and biological material in use, storage or transport; (c) Appropriate physical protection measures; (d) Strengthening of controls on all borders regarding imports, exports and re-exports exports; (e) Training of security forces in handling nuclear, chemical and biological material or in performing duties in the vicinity of such potentially hazardous substances. 1. Provision of sophisticated radioactive, chemical and biological detection equipment. 2. Organizing of professional training and exercise, including those with international attendance. need help to develop a national control list for the dual use items based on relevant international arrangements (CWC, BWC Requests for Assistance - - Illustrative Examples - -
As of 17 October 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
Canada could provide the following types of assistance to fight CBRN terrorism : legislative drafting and legal policy assistance related to the ratification and implementation of non-proliferation and arms control-related related conventions (e.g. the CWC and the BTWC); health security initiatives with bio-terrorism applications such as the establishment of disease surveillance systems; export controls training; training in bio-safety/security standards; detection and decontamination of chemical, biological and radiological terror agents; food safety, animal and plant health initiatives The United States has strong outreach programs that provide information and assistance to states on joining and implementing the Biological Weapons Convention (BWC). The United States also provides assistance, upon request, to existing BWC States Parties on issues relating to the completion of implementation requirements, and strengthening biosafety and pathogen security legislation and policies. Cuba, through the CITMA National Biosafety Centre, is prepared to contribute to exchanges of experience in the implementation of the Biological Weapons Convention by means of courses, seminars, workshops and other activities, basically in the Latin American and Caribbean region. 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 --Letter from Russian Federation dated 29 May 2009 on Armenia s assistance request. In view of Pakistan s experience in implementation of various treaties regimes including CWC, CPPNM and BWC and its elaborate legislative framework in the safety and security of nuclear technology and material, Pakistan is in a position to provide assistance, as appropriate, in response to specific requests, to the states lacking the legal and regulatory infrastructure, implementation experience and/or resources for fulfilling the provisions of the Security Council Resolution 1540 (2004). Offers of Assistance - - Illustrative Examples - -
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 provided the 1540 Committee with a point of contact for assistance: 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
[Security Council] urges States and relevant international, regional and subregional organizations to inform the Committee as appropriate of areas in which they are able to provide assistance; and calls upon States and such organizations, if they have not done so previously, to provide the 1540 Committee with a point of contact for assistance [and] urges the 1540 Committee to continue to engage actively with States and relevant international, regional and subregional organizations to promote the sharing of experience, lessons learned and effective practices,, in the areas covered by resolution 1540 (2004), drawing in particular on o information provided by States as well as examples of successful assistance, and to liaise on the availability of programmes which might facilitate the implementation of resolution 1540 (2004), while bearing in mind that customized assistance is useful for the effective implementation of resolution 1540 (2004) at national levels Security Council Resolution 1977 (2011) Sharing of experience, lessons learned and effective practices
The Group of experts participates in the GPWG meetings The G8 Global Partnership Against the Spread of Weapons and Materials of Mass Destruction (G8 GP) is addressing BW nonproliferation, disarmament, and counterterrorism through cooperative projects in areas such as scientist engagement, biosafety/biosecurity, export controls, combating illicit trafficking, and supporting the implementation of resolution 1540 (2004) The Biological Security WG was established in 2012 The 2012 Biological Security Deliverables of the GPWG/BSWG: Secure & account for materials that represent bio proliferation risks Develop and maintain appropriate & effective measures to prevent, prepare for, & respond to the deliberate misuse of biological agents Strengthen national and global networks to rapidly identify, confirm and respond to biological attacks Reduce proliferation risks through the advancement and promotion of safe and responsible conduct in the biological sciences Reinforce and strengthen biological nonproliferation principles, practices and instruments Assistance includes promoting the universalization and full implementation of existing non-proliferation obligations, such as under the Biological Weapons Convention, the 1925 Geneva Protocol and resolution 1540 Other Opportunities for Match-Making Making With the objective of With the objective of facilitating facilitating technical technical assistance for the assistance for the implementation implementation of of resolution resolution 1540 1540 (2004) (2004) by by matching matching offers offers and and requests for requests for assistance, assistance, the the Committee and its Committee and its experts experts continued continued and and intensified intensified the the dialogue dialogue with with the the Working Working Group Group of of the the G-8 G G-8 Global Global Partnership Partnership Against Against the the Spread Spread of of Weapons Weapons and and Materials Materials of of Mass Mass Destruction Destruction (GPWG) (GPWG) on on the the consolidated consolidated list list of of assistance assistance requests requests - - - - S/AC.44/2012/OC.48 S/AC.44/2012/OC.48
[Security Council] 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 Security Council Resolution 1977 (2011) Since the adoption of resolution 1540 (2004) only two international workshops were organized by States to discuss the implementation of resolution 1540 (2004) in the bio area: - Implementing UN Security Council Resolution 1540 to combat the proliferation of biological weapons, Geneva, Switzerland (2005) - Africa Regional Biosafety and Biosecurity Workshop on Implementation of UN Security Council Resolution 1540, Nairobi, Kenya (2010) Upcoming: Biosecurity Conference on UN Security Council Resolution 1540 (2004), 3-4 December 2013, Wiesbaden, Germany, organized by the Government of Germany in cooperation with UNODA and the European Commission's Outreach in Export Controls of Dual-Use Goods 70 60 50 40 30 20 10 0 Total no. of outreach events Bio-related outreach events 2011 2012 2013-October Resolution 1540 (2004): Bio outreach
Education, training & awareness raising Societal vigilance Building a security culture and responsible conduct of science Codes of conduct A multi-factorial solution to a multi-faceted problem
http://www.un.org/disarmament/education No educational or training materials specifically on resolution 1540 (2004)
Up to date: five biannual reports on disarmament and non-proliferation education from the Secretary-General to the General Assembly, compiled from submissions from States, international and non-governmental organizations The only mention of BWC is in the 2012 report, submission by the University for Peace: In 2011, two disarmament seminars were held with a total of 53 students participating, while a workshop on the Review Conference of the Parties to the Biological Weapons Convention attracted 55 diplomats over a two-day period None of the reports mention any initiatives on education, training, or awareness raising on biosafety, biosecurity and the prohibitions and obligations of the BWC (or those of resolution 1540) http://www.un.org/disarmament/education/2002unstudy UN Secretary General s s Biannual Reports: underutilized means for biosecurity outreach
Education and training remain important but underutilized tools for promoting peace, disarmament and non-proliferation If it is to retain its relevance to the security requirements of peoples and States, disarmament and nonproliferation education and training must not be viewed in a vacuum but rather integrated into that broad perspective. A global disarmament and non-proliferation culture cannot be accomplished easily or quickly. A sustained effort is required to build communities of disarmament and non-proliferation specialists and concerned individuals. Member States, international organizations, academics and NGOs are essential actors in this long-term effort. Report of the Secretary-General (A/57/124), United Nations Study on Disarmament and Non-Proliferation Education http://www.un.org/disarmament/education
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