1. United Nations Security Council Resolution 1540
Lecture No. 20a
This lecture was prepared by the University of Bradford staff with the support of Dr. Dana Perkins, 1540 Committee expert

2. Outline The United Nations system Slides 3-8
The Role of the United Nations Security Council in maintaining peace and security
Slides 9-14
United Nations Security Council Resolution 1540 (2004).
Slides 15-23
Synergy and Convergence between BWC and Resolution 1540 (2004)
Slide 24
Notes: the objective of this lecture is to inform students about the UN system, in particular the role of the UNSC in the web of prevention against the misuse of life sciences.

3. The Birth of the United Nations (UN)
The United Nations organization, as we know it, started to come about with the Inter-Allied Declaration on 12 June 1941 "to work together, with other free peoples, both in war and in peace".
World peace was to be maintained by what US President Franklin D. Roosevelt described as the “four policemen”: US, UK, USSR and China
These 4Ps, along with France, became the 5 permanent members of the Security Council
26 June 1945: representatives of 50 countries sign the UN charter at a conference in San Francisco and the UN officially comes into existence
The UN founders identified a set of fundamental Purposes and Principles, which are still relevant today, aiming to:
maintain international peace and security; develop friendly relations among nations based on respect for the principle of equal rights and self determination; achieve international cooperation in solving international problems of an economic, social, cultural or humanitarian character; and to be the centre for harmonizing the actions of nations in the attainment of these common goals.
There are currently 193 UN Member States that express their views and calls for action through the General Assembly, the Security Council, and other bodies and committees. While the UN and its system of specialized agencies, funds and programs work on a broad range of fundamental issues, of special relevance to future conflicts and the web of prevention is the Security Council’s work on counterterrorism, disarmament, and non-proliferation.
South Sudan joined the UN in 2011, see updated listed of UN Member States at:

4. UN Charter Preamble WE THE PEOPLES OF THE UNITED NATIONS DETERMINED
to save succeeding generations from the scourge of war, which twice in our lifetime has brought untold sorrow to mankind, and
to reaffirm faith in fundamental human rights, in the dignity and worth of the human person, in the equal rights of men and women and of nations large and small, and
to establish conditions under which justice and respect for the obligations arising from treaties and other sources of international law can be maintained, and
to promote social progress and better standards of life in larger freedom…

5. For details see: http://www.un.org/en/aboutun/structure/

6. UN: Forum for International Cooperation on Diverse Issues
Health
Refugees
Human rights
Environmental issues
Sustainable development
Promoting economic development

7. UN General Assembly (UNGA)
The main deliberative, policymaking and representative organ of the UN, comprising all 193 Member States
The Assembly meets in regular session September-December each year, and as required
Elects the non-permanent members of the Security Council and the members of other UN councils and organs and, on the recommendation of the Security Council, appoints the Secretary-General
UNGA is empowered to make only non-binding recommendations to States
Pursuant to its “Uniting for Peace” resolution of November 1950 (resolution 377 (V)) , the Assembly may also take action if the Security Council fails to act, owing to the negative vote of a permanent member, in a case where there appears to be a threat to the peace, breach of the peace or act of aggression. The Assembly can consider the matter immediately with a view to making recommendations to Members for collective measures to maintain or restore international peace and security (see "Special sessions and emergency special sessions”).
UNGA website:

8. UN Secretariat
The Secretariat — an international staff working in duty stations around the world — carries out the diverse day-to-day work of the Organization
It services the other principal organs of the UN and administers the UN programs and policies
It is led by the Secretary-General, who is appointed by the General Assembly on the recommendation of the Security Council for a five-year, renewable term
Duties: administers peacekeeping operations, mediates international disputes, surveys economic and social trends and problems, prepares studies on human rights and sustainable development, organizes international conferences on issues of worldwide concern, etc.
UN Secretariat:

9. United Nations Security Council
The Security Council consists of 5 permanent members (P5): China, the United States, France, the United Kingdom, and the Russian Federation and ten members elected for two-year terms by the General Assembly.
Each of the P5 has the power of veto.
The Council formally expresses the consensual opinion of its members through resolutions.
Article 41 of the Chapter VII of the UN Charter states that “The Security Council may decide what measures not involving the use of armed force are to be employed to give effect to its decisions..” while Article 42 emphasizes that: “should the Security Council consider that measures provided for in Article 41 would be inadequate or have proved to be inadequate, it may take such action by air, sea, or land forces as may be necessary to maintain or restore international peace and security. Such action may include demonstrations, blockade, and other operations by air, sea, or land forces of Members of the United Nations”.
UNSC website:
Current UNSC membership at:
For a list of resolutions adopted by the UN Security Council since 1946 see:
United Nations, Highlights of Security Council Practice, 2012, available online at:
The UN Charter gives the Security Council “primary responsibility for international peace and security”

10. What Does the Security Council Do to Maintain Peace and International Security?
If the Security Council decides there is a threat to international peace and security, it normally begins by calling for negotiations to resolve the problem
The UN Secretary General (or his representative) talks to the countries involved and urges them to settle the problem

11. If that Doesn’t Work Can impose diplomatic and economic sanctions
Resolution 687 (1990)
29 November 1990
The Security Council
Acting under Chapter VII of the Charter
Demands that Iraq comply fully with resolution 660 (1990) and all subsequent decisions relevant resolutions and decides while maintaining all its decisions to allow Iraq one final opportunity, as a pause of goodwill to do so
2. Authorizes Member States co-operating with the Government of Kuwait , unless Iraq on or before 15 January 1991 fully implements as set forth in paragraph 1 above, the abovementioned resolutions,
to use all necessary means to uphold and implement resolution 660 (1990) and all subsequent relevant resolutions and to restore international peace and security in the area…
Can impose diplomatic and economic sanctions
Air and sea blockades
If there is still no progress, the Security Council can authorize military action
The UN is not perfect, but it is the only institution we have where countries can solve problems together. 11

12. The UN Security Council Authorised Military Action
Article 42 of the United Nations Charter gives the Security Council the authority to take action by air, sea or land forces as may be necessary to maintain or restore international peace and security.
The Security Council has authorized military force to reverse or repel aggression by one State against another (in the context of the 1950 Korean War and the aggression of Iraq against Kuwait in 1990).
Since 1990, the Security Council has increasingly authorized the use of force under Chapter VII of the Charter — in different circumstances and to varying degrees. 
It has authorized a number of naval blockades to enforce sanctions (in Iraq, the former Yugoslavia, Haiti and Sierra Leone).
It has authorized a limited use of force by United Nations peacekeeping operations (such as in the former Yugoslavia, Somalia, the Democratic Republic of the Congo, Kosovo and East Timor , and byregional arrangements (such as the ECOWAS Mission in Côte d’Ivoire (ECOMICI), the European Union force in the Democratic Republic of the Congo (EUFOR R.D. Congo) and the African Union Mission in Somalia (AMISOM).
Furthermore, it has authorized the use of “all necessary means” or “all necessary measures” by multinational forces (such as in Somalia, Haiti, Rwanda, Eastern Zaire, Albania, Bosnia and Herzegovina, East Timor,  Bunia in the DRC, Liberia and Iraq. 
Reference: 12

13. Typical UN Operations are Peacekeeping not War Fighting
These operations usually come into effect once a war is over
They monitor ceasefires, protect civilians, facilitate humanitarian aid, and help the political process
Responsibility of peace keepers is to the UN, not their own countries 13

14. Bodies Reporting Directly to the Security Council
Subsidiary Bodies:
1540 Committee
Counter-Terrorism Committee
International Criminal Tribunal for the former Yugoslavia (ICTY)
International Criminal Tribunal for Rwanda (ICTR)
Military Staff Committee
Peacekeeping Operations and Missions
Sanctions Committees
Standing Committees and Ad Hoc Committees
UN Compensation Commission
Working Group on Children and Armed Conflict
Informal WG on Documentation & Other Procedural Questions
Advisory Subsidiary Body:
United Nations Peacebuilding Commission 14

15. UN Security Council Resolution 1540 (2004): A Response to Threats to International Peace and Security
Adopted by the Security Council on 28 April under Chapter VII of the UN Charter which affirms that the proliferation of nuclear, chemical and biological weapons and their means of delivery constitutes a threat to international peace and security
Security Council Meets on Non-Proliferation of Weapons of Mass Destruction
UN Photo / Eskinder Debebe, 28 April 2004
States are also requested to report on implementation to the 1540 Committee

16. UN Security Council Resolution 1540 (2004): Legally Binding Obligations on all UN Member States 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 and re-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) full text:
1540 Committee website:

17. UN Security Council Definitions for the Purpose of Resolution 1540 (2004)
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 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

18. Resolution 1540 (2004) Reinforces Nonproliferation Treaties
“[Security Council] calls upon States to renew and fulfill 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…
[and]
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”
– Security Council Resolution 1540 (2004)
[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 under this Article [4] ”
– Final Declaration of BWC States Parties at the 7th Review Conference
The Seventh Review Conference of the Biological Weapons Convention, 5-22 December 2011, Photo: Dana Perkins

19. The 1540 Committee and Its Experts
“[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) to monitor the implementation of the resolution is a subsidiary body of the Security Council and consists of all current members of the Council
The 1540 Committee facilitates implementation through cooperation, dialogue, and as a clearinghouse for assistance (its mandate extends till 2021)
The 1540 Committee receives from States national reports and updates on implementation and reports to the Security Council through the Committee’s annual Program of Work, Annual review on the implementation of resolution 1540 (2004), and biannual briefing on its cooperation with the SC committees 1267 (Al-Qaida Sanctions Committee) and 1373 (Counter-Terrorism Committee)
The 1540 Committee is aided by a Group of experts nominated by the UN Member States for 2 to 5 years appointments
UN Department of Political Affairs (UNDPA) serves as the secretariat for the 1540 Committee while the UN Office for Disarmament Affairs (UNODA) provides substantive logistical and administrative support to the 1540 Committee and its Group of Experts in addition to undertaking regional activities in support of States’ implementation of resolution 1540 (2004)

20. A “1540 Matrix” Is Prepared by the 1540 Committee for each State
A matrix has 389 “fields” covering activities related to the Operative Paragraphs (OPs) of the resolution
When completed, the matrix links the obligations of resolution 1540 (2004) with national implementation measures
1540 matrices posted online at:

21. What the 1540 Committee and Its Experts Are Monitoring on the 1540 Matrix with regard to BW-related Materials
Measures to account for / secure production, use, storage, and transport of BW and related materials
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
EXCERPT FROM THE 1540 MATRIX TEMPLATE
1540 matrix template at:
Reference to BWC CBMs

22. Subsequent Related Resolutions -- Highlights --
Invites the 1540 Committee to explore with States and international, regional and subregional organizations experience-sharing and lessons learned in the areas covered by resolution 1540 (2004), and the availability of programs which might facilitate the implementation of resolution 1540 (2004)
Resolution 1810 (2008)
Encourages all States to prepare on a voluntary basis summary action plans, with the assistance of the 1540 Committee as appropriate…
Resolution 1977 (2011)
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…
Urges the 1540 Committee to continue...facilitating technical assistance for implementation of resolution 1540 (2004), in particular by… matching offers and requests for assistance, through such means as visits to States, at the invitation of the State concerned, assistance templates, action plans or other information submitted to the 1540 Committee
Decides that the 1540 Committee will conduct a comprehensive review on the status of implementation of resolution 1540 (2004), both after five years and prior to the renewal of its mandate… the first review should be held before December 2016
Requests the 1540 Committee, with the support of the group of experts, to identify effective practices, templates and guidance, with a view to develop a compilation, as well as to consider preparing a technical reference guide about resolution 1540 (2004), to be used by States on a voluntary basis in implementing resolution 1540 (2004), and in that regard, encourages the 1540 Committee, at its discretion, to draw also on relevant expertise, including, civil society and the private sector, with, as appropriate, their State’s consent
Resolution 1673 (2006) full text:
Resolution 1810 (2008) full text:
Resolution 1977 (2011) full text:

23. Security Council Resolution 2118 (2013) on Syria
“[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)
Resolution 2118 (2013) full text:

24. Synergy and Convergence between BWC and Resolution 1540 (2004)– At a Glance
Applicability:
All 193 UN Member States
170 States Parties
Purpose:
To prohibit non-State actors from developing, acquiring, manufacturing, possessing, transporting, transferring or using nuclear, chemical or biological weapons and their delivery systems
To prohibit the development, production, acquisition, transfer, stockpiling and use of biological and toxin weapons
Obligations:
Refrain from supporting by any means non-State actors from developing, acquiring, manufacturing, possessing, transporting, transferring or using nuclear, chemical or biological weapons and their delivery systems; adopt legislation to prevent the proliferation of nuclear, chemical and biological weapons, and their means of delivery, and  establish appropriate domestic controls over related materials to prevent their illicit trafficking
Any necessary measures to prohibit and prevent the development, production, stockpiling, acquisition, retention, transfer or use of biological weapons by anyone under States Parties’ jurisdiction; and measures to prohibit/prevent encouraging, inciting or assisting others in any of these acts
Entry into force:
28 April 2004
26 March 1975
Reporting/where/when:
Status of implementation / 1540 Committee / voluntary, “without delay”
CBMs voluntary reporting / BWC ISU / annually by 15 April
Other reporting:
Points of contact, national implementation action plans
Points of contact, reports to RevCons
Transparency and civil society participation:
National reports/updates from 171 reporting States and 179 out of 192 approved matrices posted online; closed committee meetings
69 CBM returns in 2012 (22 on the public ISU website); open MX and MS
Assistance database/ clearinghouse role:
Yes / 1540 Committee
Yes / BWC ISU
Verification mechanism: No
Sanctions for non-compliance
Voluntary peer-review mechanism:
Yes
1540 Committee website:
BWC ISU website:
Data as of 18 October For up to date 1540 national reports and updates see:
For up to date BWC membership see:

25.
Check out the 1540 Committee website for additional information.

26. “The 1540 Committee has a key role to play in ensuring that the world is a safe place and in allowing people in every country to pursue their lives free of fear of catastrophic attack by non-State actors…”
The UN Secretary General, Ban Ki-Moon
Remarks at dinner hosted by the Permanent Representative of Saudi Arabia on the occasion of the high-level event on Security Council resolution 1540 (2004), New York, 10 December 2012 / Photo: Dana Perkins
UN Secretary General’s Statement (full text) at:

27. References and Questions