UNSC Resolutions 1540 (2004) and 1997 (2011):

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1 UNSC Resolutions 1540 (2004) and 1997 (2011): Obligations Regarding Biological Weapons and Related Materials Prepared by Richard T. Cupitt, UNSC 1540 Committee Group of Experts for the Meeting European Union Joint Action in support of the Biological Weapons Convention Chisinau, Republic of Moldova June 2011 This presentation represents only the views of the author and not those of the 1540 Committee, the United Nations Security Council, or the United Nations

2 Overview UNSC resolutions 1540 (2004) and 1977 (2011) Comparing 1540 and BTWC prohibited activities Selected findings from the forthcoming report to the UNSC Assistance Effective Practices

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4 UNSC resolution 1977 (2011) On 20 April 2011, the UN Security Council unanimously adopted resolution 1977 (2011) under Chapter VII It reaffirms: resolutions 1540 (2004), 1673 (2006) and 1810 (2008) That the proliferation of nuclear, chemical and biological weapons and their means of delivery as a threat to international peace and security That the prevention of such proliferation should not hamper international cooperation in materials, equipment and technology for peaceful purposes while the goals of peaceful utilization should not be misused for proliferation purposes

5 Continuing Elements in 1977 (2011) The resolution endorses the prior work of the 1540 Committee States to provide additional information and, on a voluntary basis, implementation action plans It decides that the Committee should continue to intensify its outreach, dialogue, assistance, and cooperation activities to promote full implementation of resolution 1540 (2004)

6 New Element (Selected) It extends the mandate of the 1540 Committee until 25 April 2021, with annual reviews and two comprehensive reviews Increases emphasis on identifying and sharing effective practices

7 Prohibitions, Controls and Recommendations The resolution contains many prohibitions, obligations and recommendations for implementation, buy an unofficial count: specific prohibitions controlled activities 3. At least 8 recommended activities Unofficially, this involves at least 38 key prohibitions and controlled biological weapons related materials activities, and at least two recommended activities (control list and universalization)

8 UNSCR 1540 (2004): Prohibitions on Biological Weapons 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; 2. 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;

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10 Comparison of Prohibited Activities under UNSC resolution 1540 (2004) and the BTWC Prohibited Activities under UNSCR 1540 Biological and Toxin Weapons Convention (BTWC) Manufacture/produce Acquire Possess Stockpile/store Develop X X Art.I ( otherwise acquire or retain ) X X Transport Art.III: ( not to transfer to any recipient whatsoever, directly or indirectly Transfer Use X X

11 Comparison of Prohibited Activities under UNSC resolution 1540 (2004) and the BTWC Prohibited Activities under UNSCR 1540 Participate as an accomplice in aforementioned activities Biological and Toxin Weapons Convention (BTWC) Art.IV: take any necessary measures to prohibit and prevent the development, production, stockpiling, acquisition, or retention. within the territory, under its jurisdiction or under its control anywhere. Assist in aforementioned activities Finance aforementioned activities Aforementioned activities related to means of delivery Art.IV: take any necessary measures to prohibit and prevent the development, production, stockpiling, acquisition, or retention. within the territory, under its jurisdiction or under its control anywhere. Art.IV: take any necessary measures to prohibit and prevent the development, production, stockpiling, acquisition, or retention. within the territory, under its jurisdiction or under its control anywhere. X Aforementioned prohibitions apply to non-state actors X

12 UNSCR 1540 (2004): Controls for Accounting, Securing, and Physical Protection of Biological Weapons Related Materials 3. Decides also that all States shall take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical, or biological weapons and their means of delivery, including by establishing appropriate controls over related materials and to this end shall:. (a) Develop and maintain appropriate effective measures to account for and secure such items in production, use, storage or transport; (b) Develop and maintain appropriate effective physical protection measures;

13 10. All States should take cooperative action to prevent illicit trafficking in nuclear, chemical, and biological weapons, their means of delivery, and related materials; UNSCR 1540 (2004): Recommended Actions Related to the BTWC (selected) 4. States should report to the 1540 Committee on steps they have taken or intend to take to implement the resolution (resolutions 1673, 1810 and 1977 have reiterated the call for first reports and called on States to submit additional information as appropriate) 5. None of the obligations of the resolution conflict or alter rights or obligations of key nonproliferation treaties and conventions, including the BTWC 6. Calls on all States to pursue control lists as soon as possible 7. Some States may require assistance, so the UNSC invites States to offer assistance in response to specific requests 8. Calls on all States to promote the universal adoption, full implementation, and, where necessary, the strengthening of nonproliferation instruments, including the BTWC, adopt national measures for compliance with such instruments, and inform industry and the public regarding their obligations.

14 Four Keys to Making 1540 a Success NATIONAL DISCRETION: The resolution identifies the obligations, States decide how to implement these obligations INSTITUTION: Resolution 1540 (2004) established a committee to monitor and report on the status of implementation. Resolutions 1673 (2006), 1810 (2008) and 1977 (2011) COOPERATIVE APPROACH: The 1540 Committee is NOT a sanctions committee. It facilitates implementation through cooperation, dialogue, and as a clearinghouse for assistance ASSISTANCE: The 1540 Committee seeks to facilitate requests for and provision of assistance

15 2011 Report to the UNSC: Some Findings The Good News: More UN Member States have taken many more new measures to implement the resolution in virtually every field compared to 2008 The 1540 Committee does not assess the quality of the measures taken, but does point to standards, guidelines as examples, including the work of the BWTC, the EU, and individual states BUT: Big gaps remain, especially in the fields of securing and physical protection of BW related materials

16 Comparing the number of States with measures in place by obligations of paragraph 2 (Legal/Enforcement Obligation Nuclear Weapons Chemical Weapons Biological Weapons Manufacture/Produce 115/92 135/ /95 Acquire 112/88 138/ /95 Possess 80/95 101/116 72/87 Stockpile/Store 52/57 134/ /70 Develop 45/47 129/95 98/65 Transport 59/84 50/76 52/69 Transfer 75/83 140/ /99 Use 105/ / /121 Means of Delivery 39/36 54/48 90/43 Accomplice 98/ / /110 Assist 102/ / /110 Financing 125/ / /113

17 Prohibition Measures to Combat Proliferation of Biological Weapons Biological Infrastructure Some Biological Infrastructure (34) No Biological Infrastructure (158) Prohibitions (12) Averages 8.7 / 9.5 Ranges 1-12 / 0-12 Averages 5.7 / 4.7 Ranges 0-12 / 0-12 This presentation uses four indicators from BTWC data in open sources, including a list of declared biological weapons defense programs, declared biological weapons defense facilities, bio-safety level IV facilities and bio-safety level II facilities in In addition, the Food and Agriculture Organization (FAO) offers the most comprehensive official open data on human and animal vaccine production facilities, which comprises two additional indicators.

18 Comparing the number of States with measures in place for accounting, securing nuclear, chemical, and biological weapons related materials obligations of paragraph 3 a and b (Legal/Enforcement) Obligation Nuclear Chemical Biological Accounting Production 164/73 97/89 61/62 Use 165/73 96/86 62/63 Storage 165/71 97/92 61/61 Transport 78/72 78/73 60/57 Securing Production 81/72 74/69 60/62 Use 90/81 73/72 64/67 Storage 89/80 81/78 68/72 Transport 101/100 80/81 73/78 Physical Protection and Other Controls Protect 74/61 53/45 46/35

19 Comparing the number of States with measures in place for physical protection and other controls on biological weapons related materials obligations of paragraph 3 a and b (Legal/Enforcement) Obligation Nuclear Chemical Biological Physical Protection Protect 74/61 53/45 46/35 Other Controls Reliability Checks on Staff License Facilities 51/33 30/23 32/27 99/81 98/82 74/57

20 Measures to Account for, Secure, and Physical Protect Biological Weapons Related Materials Biological Infrastructure Some Biological Infrastructure (34) No Biological Infrastructure (158) Controls on Production, Use, Storage, and Physical Protection Transport (11) Averages 8.1 / 7.6 Ranges 0-11 / 0-11 Averages 2.4 / 2.4 Ranges 0-11 / 0-11

21 ** Declared BW Defense Program, Declared BW Defense Facilities, BL IV Facilities, BL III Facilities, Humane Vaccine Production Facilities, Animal Vaccine Production Facilities (est ) Status of Implementation: Strategic Trade Control Legislation on BW Related Materials*: Basics Biological Infrastructure** / Type of Control Some Biological Infrastructure (34) No Biological Infrastructure (158) Exports Transit Transshipment Re-Export Licensing Imports *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

22 Status of Implementation: Strategic Trade Control Legislation on BW Related Materials: Control Lists Biological Infrastructure** / Type of Control Some Biological Infrastructure (34) No Biological Infrastructure (158) List Technologies Intangibles Catch-all End-users 28 37

23 Status of Implementation: Strategic Trade Control Legislation BW Related Materials: Services Biological Infrastructure** / Type of Control Some Biological Infrastructure (34) No Biological Infrastructure (158) Brokering Trade Financing Transport Services 16 16

24 Strategic Trade Controls and Biological Infrastructure Biological Infrastructure Some Biological Infrastructure (34) No Biological Infrastructure (158) Strategic Trade Controls (of the 15 elements in the tables above) Averages 12.6 / 11.0 Ranges 0-15 / 0-15 Averages 4.4 / 3.6 Ranges 0-14 / 0-14

25 States Potential Assistance Partners: Think in and out of the box Typical (e.g., the United States, the Russian Federation, Norway, Japan, Canada, Australia) Atypical (e.g., Andorra) International or Supranational bodies Typical (e.g., the EU, WHO) Atypical (e.g., OAS/CICTE) Civil Society Typical (e.g., Industry or Professional Associations, VERTIC) Atypical (e.g., individuals, individual companies, foundations)

26 Why so many generic requests? - Breadth and depth of the obligations - Requesting States already see opportunities for general capacity-building 1540 Committee Assistance Request Template ( Formal Assistance: Requests to 1540 by Types of Threat and Projects through 2010 Type of Threat: Type of Project: Nuclear Chemical Biological Means of Delivery Generic WMD Threat Prohibitions Accounting / Securing Physical Protection 2 1 Border Controls Export Controls 7 Generic / Reporting 12

27 *This includes the CARICOM and SICA requests ** Two additional States, Côte d Ivoire and Congo, have received assistance indirectly related to their request. The Syrian Arab Republic has had no positive responses. Unrequited Assistance? States Receiving Assistance Reporting on the Outcome of the Request States Offering Assistance that replied to the requests Requesting States Obtaining Directly Relevant Assistance as Reported by States Offering that Assistance * **

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29 Implications for State and IGO/IRO action? States have taken many measures to prohibit BW, many reflecting their implementation of the BTWC Gaps remain profound in accounting, securing and physically securing biological weapons related materials need for more best practices and more action. Yet these very controls fit into broader public health objectives. Strategic Trade Controls in BW related materials, closely mimic those in nuclear and chemical, but its less diverse production base with a diverse consumer base, plus the very rapid pace of technological change offer unique challenges for the field

30 How Can the 1540 Committee Help You? The 1540 Committee has some limited resources of its own, but it most often serves as a: Focal point for sharing effective practices and linking States with possible partners for cooperation, especially across disciplines Clearing House to receive and distribute formal and informal assistance requests, and provide matchmaking services where appropriate Mechanism for monitoring implementation as a means for States to evaluate their progress toward full implementation of the resolution and to understand what their neighbors, partners or competitors are doing, and where appropriate the 1540 Committee can contribute to the development of those national plans. If you have not yet done so, please have your government identify an official point of contact to the 1540 Committee, through a NV from your UN Mission, a letter to the 1540 Committee Chairman from your MFA, etc.

31 Thank You General Points of Contact E: Fax: Website: Personal Points of Contact Dr. Richard T. Cupitt 1540 Committee Experts, UN Security Council E: Phone: + 1 (212) (o); +1 (202) (m)