Overview. Requirements: Legislation and Enforcement. A Focus on Operative Paragraph 3 of the resolution: border and export controls

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1 United Nations Security Council Resolution 1540: Can Compliance be easy? by Olivia Bosch PhD 1540 Committee Expert OSCE Workshop on Customs Procedures and Licensing Issuance: Integrating the National Processing of Dual-Use Goods and Conventional Weapons through Information Sharing January 2012, Valletta Malta 1

2 Overview Compliance through implementation UN Security Council Resolution 1540 Requirements: Legislation and Enforcement A Focus on Operative Paragraph 3 of the resolution: border and export controls Sharing Experiences and Lessons Learned to facilitate implementation Organisations, Implementation and Assistance 2

3 Compliance through Implementation Resolutions 1810 (2008) and 1673 (2006) refer to compliance with resolution 1540 (2004) through the achievement of the implementation of its requirements Security Council 1540 Committee approach is through cooperation Status of Implementation: 2006, 2008, 2011 Reports of 1540 Committee to Security Council With resolution 1977 (2011), annual reviews due by end December; The Committee can build on processes of 2009 Comprehensive Review and final document which includes recommendation to integrate 1540 requirements into other national priorities 3

4 UNSCR 1540 Objectives (1) UNSCR 1540 (Apr 2004) creates 1540 Committee, UNSCRs 1637 (2006)/1810 (2008) extends Committee mandate, UNSCR 1977 (Apr 2011) extends mandate for ten years to affirms proliferation of nuclear, chemical and biological weapons and means of delivery as a threat to international peace and security 1540 to prevent access to a means, ie, nuclear, chemical, biological weapons, by which terrorist act might be conducted Res is a non-proliferation instrument in the form of a SC resolution (not a treaty); is often referred to within the UN along with other resolutions dealing with counter-terrorism: UNSCR 1267 (1999): Al-Qaida and Taliban sanctions (since 2011, divided into two Committees) UNSCR 1373 (2001): Counter-Terrorism 4

5 Objectives (2) UNSC Resolution 1540 (compared to other related treaties): Broadens coverage to include means of delivery, and Explicitly addresses non-state actors Establishes illicit trafficking as a - new dimension of proliferation, and - threat to international peace and security States to adopt and enforce laws to prohibit non-state actors to manufacture, acquire, possess, develop, transport, transfer or use nuclear, chemical, biological weapons, and delivery means, in particular [but not only] for terrorist purposes (Operative Para. 2) States to adopt measures to prevent illicit trafficking of WMD/related materials and technologies (OP3 a,b,c,d) includes border security and export controls 5

6 Reporting and 1540 Matrix Submission of Reports/Additional Information to the Committee on steps that States have taken and intend to take to implement the resolution - baseline awareness of a country s efforts on resolution 1540 all countries in this workshop have submitted at least one report 1540 Matrix: each UN member State has a matrix prepared by the Committee: - reflects laws/measures and enforcement implemented by the State alongside the 1540 requirement; - information is from States reports and other available official sources; - gaps in the matrix assist identifying areas for further implementation, and assistance as appropriate. United Nations (Security Council) issues tend to be in portfolio of foreign ministries and their UN Missions in New York, but acrossgovernmental or inter-departmental processes used to prepare 1540 reports can in turn also be used for exchange of information for further implementation of resolution

7 Implementation (1) 1. States to refrain from supporting non-state actors Operative Paragraph (OP) 1: commitments including through: 1968 Nuclear Non-Proliferation Treaty (NPT) 1972 Biological (and Toxin) Weapons Convention (BWC) 1993 Chemical Weapons Convention (CWC) 2. Adopt national legislation on prohibitions of OP 2, options include: a) Implementing legislation of main WMD treaties above b) Penal or Criminal Code, Decree, Constitution, etc. c) Omnibus legislation specific to resolution

8 Implementation (2) d) Several of the 16+ international counter-terrorism conventions and protocols include aspects of WMD prohibitions and measures that complement implementation of resolution 1540: - Convention on Suppression of Terrorist Bombing - Convention on Suppression of Financing Terrorism Convention on Physical Protection of Nuclear Material and 2005 Amendment Protocol to Convention for Suppression of Unlawful Acts against Safety of Maritime Navigation (SUA Convention) Protocol to Protocol for Suppression against Unlawful Acts against Safety of Fixed Platforms on the Continental Shelf Convention against Nuclear Terrorism +1 : Beijing Convention updates the 1971 Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation with addition of WMD prohibitions regarding use and transport 8

9 Implementation (3) 3. Significance of resolution 1540 is to prevent illicit trafficking of WMD-related materials (eg, component parts of WMD, dual-use goods and products); therefore requires measures in Operative Paragraph (OP) 3: a - accounting/securing related materials in production, use, storage and transport, b - physical protection of related sensitive materials, c - border control / law enforcement efforts to prevent illicit trafficking and brokering of related materials, d - export / trans-shipment controls of such materials. 9

10 Implementation (4) 4. Enforcement regarding Operative Paragraph (OP) 3: a) accounting/securing and b) physical protection Res does not define nuclear-, chemical-, bio-security standards: - guidelines/practices from States, and from organisations - States can consider building security measures into existing safety regulations Nuclear materials: International Atomic Energy Agency (IAEA) Safeguards Agreement/Additional Protocol adopted by States - Handbooks Global Initiative to Combat Nuclear Terrorism (GICNT) Nuclear Security Summits, referred to generally in UNSCR 1977: (South Korea - March 2012; U.S.- April 2010) Chemical and biological materials: OPCW begun to address chemical security; CWC National Authorities (NA) can be expanded to include BWC, etc, as an inter-departmental process World Health Organization (WHO) - International Health Regulations 10

11 Implementation (5) OP 3c,d, OP 6 specific - 1 Enforcement Regarding Operative Paragraph (OP) 3: OP 3c: border control and law enforcement efforts OP 3d: export and trans-shipment controls OP 6: suggest control lists OP 3c: - Examine border security management system models - Integrated? WCO collection of models? - OSCE Border Security and Management Concept - WCO SAFE Framework of Standards - WCO-UNODC Container Control Programme; U.S. Container Security- /Secure Freight Initiatives - World Health Organization (WHO) International Health Regulations (eg, requires designated ports of entry for bio pathogens) - International Atomic Energy Agency (IAEA); WHO-World Organisation for Animal Health (OIE)-FAO transportation guidelines 11

12 Implementation (5) OP 3c,d, OP 6 specific - 2 Operative Paragraph (OP) 3: OP 3d : export and trans-shipment controls Export control licensing processes for WMD/strategic commodities - are checks, too, for transit and trans-shipment? - resolution does not intend to hinder legitimate trade of related materials and technology for economic development, commerce and public health services; - implementation of policies can lead to efficiencies and in turn country can be a good place to do business. - WCO Harmonized System (HS) codes to correlate with nuclear, chemical and biological significant goods? Complex issue as basic HS are viewed by many countries to enhance economic development; how consider security goals? 12

13 Implementation (5) OP 3c,d, OP 6 specific - 3 Operative Paragraph (OP) 6: suggests use of control lists Use of lists in existing multilateral treaties or export control regimes that States can consider could include from: - Chemical Weapons Convention (CWC) Schedules - Australia Group (AG) chemical and biological related items - Nuclear Suppliers Group (NSG) - Missile Technology Control Regime (MTCR) - Wassenaar Arrangement - European Union, and nationally specific UN sanctions committees have specific lists but 1540 is not a sanctions committee Laws vs. implementing regulations: the latter is considered more easy to change and update upon review what processes of review does your country have? multi-departmental, across-government? 13

14 Implementation - Sharing Experiences (1) OP 3 a, b, c, d together reflect supply chain security approach Industry and commerce interests in reputation and economic benefits contribute to transparency and enforcement of relevant regulations Other international guidelines, codes regulations that States implement that can contribute to implement UNSCR 1540: International Maritime Organization (IMO): - Revised Recommendations on Safe Transport of Dangerous Codes - ISPS Code (security of ship/port interface) International Civil Aviation Organization (ICAO) Annex 18 Hazardous and Dangerous Goods Codes includes categories of radiological, toxic, infectious materials Green Customs Initiative on chemicals, including those in Chemical Weapons Convention 14

15 Implementation - Sharing Experiences (2) Risk assessment processes can facilitate the flow of legitimate trade while identify goods that may need inspection - Risk assessment and border / customs security processes already used for existing illicit trafficking concerns (eg, small arms, drugs) can be adapted to establish profiles to detect nuclear, chemical and biological weapon-related materials - Customs administrations often have processes to call back for expertise in other departments, etc, to identify new goods (eg, chemicals, bio-related ) crossing borders - Informal across-government or formal inter-ministerial processes and committees used for emergency/disaster management, large-event security, can also have exchange of information processes useful to implement resolution 1540 Risk management a more strategic context that can include other processes of mitigation, eg, reduce tax tariffs to minimise smuggling incentives 15

16 UNSCR 1977 (April 2011) Extends Committee ten years to 2021 with 5-year reviews States can conduct long-term planning to facilitate implementation Committee working group structure to improve implementation, assistance, international cooperation and outreach/transparency Re-affirms objectives of resolution 1540 and that proliferation of nuclear, chemical and biological weapons and their means of delivery are a threat to international peace and security Preamble: - Encourages controls on intangible transfer of technology and information to develop and use WMD - Encourages consideration of FATF framework-guidance - Recognises contribution of 2010 Nuclear Security Summit goals and of relevant international conventions and measures concerning nuclear terrorism to implementation of res

17 Role of Organisations to facilitate implementation of resolution 1540 International Governmental Organisations (IGOs) (eg, IAEA, OPCW, WCO, WHO, etc) - functional related and with technical orientation - provide : guidelines or standards, assistance delivery programmes. Regional organisations (eg, OSCE) - provide political platform and meetings - opportunity for member States to share experiences and lessons learned Also, civil society and non-governmental organisations 17

18 Implementation and Assistance Dialogues: 1540 Committee experts informally communicate with officials in UN missions in New York and at outreach events, eg,: - UN Office for Disarmament Affairs (UNODA)-organised regional workshop series on resolution 1540 focusing on border and export controls, including in Doha, 2009 and Cairo, Workshop on facilitating resolution 1540 organised by OSCE with support of UNODA, Jan Joint UNODC-League of Arab States workshops including some countries at this workshop, Cairo - Nov 2008; Abu Dhabi, Jun 2009 and Doha, May 2011 Countries can: introduce a module or lecture on resolution 1540 (and related instruments) in existing customs certification/training courses develop implementation (or action) plans on future implementation of resolution 1540 and submit to 1540 Committee submit partnership or assistance requests, including use of template submit to 1540 Committee a request for a country visit 18

19 Information Correspondence relating to submission of national reports, and assistance and country requests should be addressed to the Chairman of 1540 Committee and sent to: Secretariat of the 1540 Committee, Attention: Chairman, 1540 Committee 730 Third Avenue, TB-08040E United Nations, New York, NY Fax: Other Information: 1540 Committee Website: Experts E-m: Fax: +1 (917) Compass 19