Security Council Resolution 1540 and Personnel Reliability Measures Dana Perkins, PhD 1540 Committee Expert 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

Biological Threats The dual-use nature of biotechnology impedes situational awareness “Traditionally, there are also connections between state weapons programs and terrorist capabilities, and the possibility of non-state actors acquiring weapons from a state cannot be ruled out…”- UNICRI, Security Implications of Synthetic Biology and Nanobiotechnology, 2012 Advances in science and technology may facilitate the development of effective bioweapons and further complicate existing non-proliferation and export control efforts intended to constrain access to, and proliferation of, dangerous pathogens and relevant dual-use technologies International nonproliferation, arms control conventions, and threat reduction initiatives serve as the principal means to prevent illicit trafficking of biological materials and technologies

Biological Threats: Where is “The Perfect Storm”? Intent Motivation Commitment Acquisition Possession Scientific/ Technical Capability USE (CDC photo) A "perfect storm" is an expression that describes an event where a rare combination of circumstances will aggravate a situation drastically. The term is also used to describe an actual phenomenon that happens to occur in such a confluence, resulting in an event of unusual magnitude.

WHO BWC OIE UNSCR 1540 FAO Individuals PSI Governments INTERPOL G8 GP NGOs Scientific Organizations Professional Associations Governments PSI Industry Academia Individuals G8 GP NATO Australia Group OSCE ASEAN … and others “The human factor is a key element in any effective non-proliferation policy. Scientists…play an important role in this respect, for example in working together on projects that advance international, regional, or bilateral non-proliferation objectives”

Resolution 1540 (2004): Binding Obligations on All States and Synergy with International Regimes Resolution 1540 (2004) imposes binding obligations on all States to 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 by non-State actors. “ … 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 ”, UN Security Council Resolution 1540 (2004), http://www.un.org/sc/1540 Security Council Meets on Non-Proliferation of Weapons of Mass Destruction UN Photo / Eskinder Debebe, 28 April 2004

Resolution 1540 (2004) - Highlights National legislation on prohibitions (OP.1 & 2) Domestic controls and enforcement (OP. 3a & 3b) Accounting for, securing, physical protection Border controls Export and trans-shipment controls Assistance (OP. 7) Promotion & implementation of multilateral treaties (OP. 8) Promotion of dialogue & cooperation (OP. 9 & 10) Reporting (OP. 4) OP = Operative Paragraph of Resolution 1540 (2004)

The 1540 Committee The Committee established pursuant to OP. 4 of res. 1540 (2004) is known as the 1540 Committee The 1540 Committee is a subsidiary body of the Security Council Chair: ROK; Vice-Chairs: Azerbaijan, Luxembourg, & UK; Members: Argentina, Azerbaijan, Australia, China, France, Guatemala, Luxembourg, Morocco, Pakistan, ROK, Russia, Rwanda, Togo, UK, & US The current Group of Experts was established per resolutions 1977 (2011) and 2055 (2012) “to assist the Committee in carrying out its mandate…” Ambassador Kim Sook 1540 Committee Chairman The 54th formal meeting of the 1540 Committee, 20 February 2013

The 1540 Committee and its Experts Tools: National matrices Template for assistance requests 1540 Committee website Ways and Means: Cooperation with other organizations Outreach events Visits to States at their invitation Receive and examine reports to monitor implementation Promote greater awareness of resolution 1540, including by outreach and dialogue with Member States Facilitate capacity building and assistance by providing a “clearing house” function http://www.un.org/sc/1540

The 1540 Matrix Information is primarily from national reports and complemented by official government information, including that from intergovernmental organizations The matrix template has 382 “fields” covering national activities related to the 1540 operative paragraphs The national matrices are prepared and used by the 1540 Committee but national authorities may also utilize the template to identify gaps and areas for improvement National matrices are used as a reference tool for facilitating technical assistance and the Committee’s constructive dialogue with States on their implementation of resolution 1540 (2004) http://www.un.org/en/sc/1540/national-implementation/1540-matrix/committee-approved-matrices.shtml

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 & 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

Resolution 1540 (2004) and national control lists “[ The Security Council ] acting under Chapter VII of the Charter of the United Nations: … 6. Recognizes the utility in implementing this resolution of effective national control lists and calls upon all Member States, when necessary, to pursue at the earliest opportunity the development of such lists…” - UN Security Council Resolution 1540 (2004), http://www.un.org/sc/1540

Biological agents under the BWC and resolution 1540 (2004) Almost any disease-causing organism (such as bacteria, viruses, fungi, prions or rickettsiae) or toxin (poisons derived from animals, plants or microorganisms, or similar substances synthetically produced) can be used in biological weapons” - Biological Weapons Convention (BWC) – As implied in Article I of the BWC, which forbids states parties to develop, produce, stockpile, or otherwise acquire or retain “microbial or other biological agents, or toxins whatever their origin or method of production, of types and in purposes”, the treaty applies to biological agents and toxins that are synthetically produced or modified Similarly, such biological agents and toxins fall under the definition of “related materials” for the purpose of resolution 1540 All relevant scientific and technological advances in biotechnology (including synthetic biology) are covered by the BWC and this fact has been reaffirmed in RevCons’ Final Declarations

Domestic control of BW-related materials & means of delivery (resolution 1540, Operative Paragraphs 3 a & b)* Example of personnel reliability qualifying criteria (USA, BPRP) Mentally alert, stable, trustworthy, physically competent, free of unstable medical conditions Dependable, responsible, perform in approved manner Flexibility in adjusting to changes in working environment Good social adjustment Sound judgment in adverse or emergency situations Physical ability to perform required duties Positive attitude towards the reliability program Measures to account for / secure production, use, storage, & transport Regulations for physical protection of facilities / materials / transports Licensing/registration of facilities / people handling biological materials Reliability check of personnel Measures to account for / secure / physically protect means of delivery Genetic engineering regulations Other legislation / regulations related to safety and security of biological materials The purpose of the personnel reliability programs is to ensure that each person selected and retained for performing duties associated with access to NBCW-related materials or means of delivery is emotionally stable and physically capable, and has demonstrated reliability and professional competence, This is usually accomplished through the initial and continual evaluation of individuals assigned to such duties. However, each person assigned to such duties is responsible for their reliability and has an obligation to report to the certifying official any behavior or circumstance about themselves or others in the program that may be expected to result in degradation in job performance or personal reliability or an unsafe or insecure condition involving NBCW-related materials. * 1540 matrix fields

Example of training requirements for chemical and biological reliability programs https://www.ecbc.army.mil/CBRNE-MSC/prp.html

Select Data Analysis of 1540 Committee-approved Matrices

Select Entries from the 1540 Committee-approved Matrices Australia Japan Switzerland UK USA

Assistance and Capacity-Building The Security Council recognizes that some States may require assistance in implementing resolution 1540, and invites those in a position to do so to offer assistance as appropriate in response to specific requests to the States lacking the legal and regulatory infrastructure, implementation experience and / or resources The Security Council encourages States that have requests for assistance to convey them to the 1540 Committee 39 States submitted RFAs up to date, plus 2 IROs (CARICOM & SICA). Chemical RFAs: Armenia, Bahamas, Cambodia, Colombia, DRC, Ethiopia, Guatemala, Iraq, Kenya, Lithuania, Mexico, Philippines, Qatar, Uganda,

Requests for Assistance (RFAs) http://www.un.org/sc/1540 All RFAs correspondence should be sent to: H.E. Ambassador KIM Sook, Chairman of 1540 Committee Secretariat of the 1540 Committee 730 Third Avenue, TB-08040E United Nations, New York, NY 10017 Fax: 212-963-1300, Email: sc-1540-Committee@un.org

- Ban Ki-moon, UN Secretary-General, 2008 “Governments alone cannot confront the risks posed by biological weapons ... to manage the full spectrum of biological risks, you need a cohesive, coordinated network of activities and resources. Such a network will help to ensure that biological science and technology can be safely and securely developed for the benefit of all.” - Ban Ki-moon, UN Secretary-General, 2008 “Sustainable education on biosecurity and dual use for life scientists is increasingly recognised as being an important element of broader efforts to achieve biosecurity… The web of prevention, which is comprised of a number of mutually reinforcing activities that cumulatively contribute to preventing biological weapons, in most contemporary variants of the theory includes a strand dealing with education (which is, in turn, achieved through a number of possible intervention points), but also includes a number of other strands including scientific oversight, disease detection and prevention, intelligence, export controls, international and national prohibitions. Teaching scientists about the existence of - but also how they can contribute to - such a web of preventative strategies is increasingly important because, as noted above, the challenge of biological weapons in the 21st century can no longer be dealt with by states alone…”--PROMOTING SUSTAINABLE EDUCATION AND AWARENESS RAISING ON BIOSECURITY AND DUAL USE Giulio Mancini (LNCV) & James Revill (BDRC)

Contact information for questions or comments: Dana Perkins, PhD 1540 Committee Expert United Nations 300 East 42nd St., Suite IN-03074H New York, NY 10017 Tel: +1 (917) 367 6023 (office) E-mail: PerkinsD@un.org Collective e-mail: 1540experts@un.org