1. UNSC Resolution 1540 (2004) and Its Implications OAS Special Meeting on Combating the Proliferation of Nuclear, Chemical, and Biological Weapons, and their Means of Delivery 11-12 December 2006 11-12 December 2006 Washington, DC, USA Presented by: Dr. Richard T. Cupitt Expert, 1540 Committee, UN Security Council Scholar-in-Residence, School of International Service, American University E: cupitt@un.org cupitt@un.org Cell: +1 (202) 210 2741

2. Overview Review of the main elements of UNSC Resolution 1540 (2004) The overall findings of the 1540 Committee as reported to the Security Council in April 2006 The overall findings of the 1540 Committee as reported to the Security Council in April 2006 Findings on sets of measures taken by states to implement the resolution

3. UNSC Resolution 1540 (2004): Introduction Adopted by unanimity on 28 April 2004 under Chapter VII of the UN Charter UNSC resolution 1673 (2006) of April 2006 reiterates the objectives of 1540 (2004) UNSC resolution 1673 (2006) of April 2006 reiterates the objectives of 1540 (2004) UNSC 1673 (2006) specifically invites the 1540 Committee to work with regional and subregional organizations (paragraph 5(b)) to share experiences and consider their programs that could facilitate implementation of UNSC 1540 (2004)

4. UNSC Res. 1540 Obligations 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 WMD and their means of delivery All States shall adopt and enforce laws that prohibit any non-State actor from manufacturing, acquiring, possessing, developing, transporting, transferring or using WMD 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 All States shall take and enforce effective measures to establish domestic controls to prevent the proliferation of WMD and their means of delivery, including by establishing appropriate controls over related materials Creates a Committee of the Security Council to monitor implementation of the resolution

5. Overall Findings By April 2006, 129 States had submitted reports and, in many cases, additional materials, to the Committee. By April 2006, 129 States had submitted reports and, in many cases, additional materials, to the Committee. 133 States have now reported to the Committee133 States have now reported to the Committee Most OAS States have reported to the CommitteeMost OAS States have reported to the Committee Using this information as its basis, the 1540 Committee examined the steps taken to implement the resolution and issued a report to the UN Security Council. Using this information as its basis, the 1540 Committee examined the steps taken to implement the resolution and issued a report to the UN Security Council. The report concluded that large gaps exist between the obligations incurred under the resolution and the number of countries taking steps to meet those obligations for all types of WMD, their means of delivery, and related materials. The report concluded that large gaps exist between the obligations incurred under the resolution and the number of countries taking steps to meet those obligations for all types of WMD, their means of delivery, and related materials.

6. Digging Deeper The Security Council placed sets of obligations in separate operational paragraphs and sub-paragraphs in Resolution 1540, implicitly suggesting that one might consider these measures together The Security Council placed sets of obligations in separate operational paragraphs and sub-paragraphs in Resolution 1540, implicitly suggesting that one might consider these measures together In the following slides, for example, I create an index for each of the four basic sets of obligations that parallel major structures of the matrix: In the following slides, for example, I create an index for each of the four basic sets of obligations that parallel major structures of the matrix: Commitments to WMD nonproliferation regimesCommitments to WMD nonproliferation regimes Prohibitions against specific WMD-related activities (operational paragraph 2);Prohibitions against specific WMD-related activities (operational paragraph 2); Measures taken to account for, secure, and physically protect WMD and WMD-related materials (operational paragraph 3 (a) and 3 (b));Measures taken to account for, secure, and physically protect WMD and WMD-related materials (operational paragraph 3 (a) and 3 (b)); Measures taken to exercise appropriate effective border and export controls (operational paragraph 3 (c) and 3 (d)).Measures taken to exercise appropriate effective border and export controls (operational paragraph 3 (c) and 3 (d)).

7. Commitments to WMD Nonproliferation Of the 129 UN Member States that submitted reports to the Committee by April 2006: Of the 129 UN Member States that submitted reports to the Committee by April 2006: 126 were States Parties to the NPT, and 111 are IAEA Member States;126 were States Parties to the NPT, and 111 are IAEA Member States; 120 were States Parties to and 3 are Signatory States of the CWC; and120 were States Parties to and 3 are Signatory States of the CWC; and 112 were States Parties to and 7 are Signatory States of the BWC.112 were States Parties to and 7 are Signatory States of the BWC. At the same time, of the 62 UN Member States that did not submit a report: At the same time, of the 62 UN Member States that did not submit a report: All were States Parties to the NPT, and 27 are IAEA Member States;All were States Parties to the NPT, and 27 are IAEA Member States; 55 were States Parties to and 5 are Signatory States of the CWC; and55 were States Parties to and 5 are Signatory States of the CWC; and 42 were States Parties to and 9 are Signatory States of the BWC.42 were States Parties to and 9 are Signatory States of the BWC.

8. Commitments to WMD Nonproliferation Number of States Number of Measures Taken

9. 1540 Prohibitions 82 States had some WMD prohibitions in their legal framework 82 States had some WMD prohibitions in their legal framework 76 States had relevant provisions in their penal legislation 76 States had relevant provisions in their penal legislation Major variations exist in the number of steps taken to implement 1540 obligations in respect to the three WMD categories and their means of delivery Major variations exist in the number of steps taken to implement 1540 obligations in respect to the three WMD categories and their means of delivery Overall, a smaller number of states have implemented WMD prohibitions related to UNSC 1540 (2004) than have made commitments to nonproliferation generally Overall, a smaller number of states have implemented WMD prohibitions related to UNSC 1540 (2004) than have made commitments to nonproliferation generally

10. Measures Taken to Adopt WMD Nonproliferation Prohibitions Number of States Number of Measures Taken

11. Accounting, Securing, and Physical Protection of WMD Related Materials 54 states provided information on the legislative and enforcement measures concerning weapons- related biological materials 54 states provided information on the legislative and enforcement measures concerning weapons- related biological materials 96 States made reference to certain measures aimed at controlling the production, use, storage and transport of different types of chemical materials within their territories 96 States made reference to certain measures aimed at controlling the production, use, storage and transport of different types of chemical materials within their territories The Committee found that 72 States had in place either comprehensive or partial legislation containing measures to secure production, use, storage and transport of nuclear materials The Committee found that 72 States had in place either comprehensive or partial legislation containing measures to secure production, use, storage and transport of nuclear materials

12. Measures Taken to Account for, Secure, or Physically Protect WMD and Related Materials Number of States Number of Measures Taken

13. 1540 Reporting: Border Controls 77 States have border control laws 77 States have border control laws The Committee on Customs Valuation of the WTO, however, reports that 97 States have customs laws or regulationsThe Committee on Customs Valuation of the WTO, however, reports that 97 States have customs laws or regulations 79 States reported having specific penalties or enforcement capabilities associated with those cross- border activities79 States reported having specific penalties or enforcement capabilities associated with those cross- border activities Only a few States indicated that their border controls cover special economic processing or free trade zonesOnly a few States indicated that their border controls cover special economic processing or free trade zones 48 States reported providing technical support that would assist border control authorities in detecting, reporting or interdicting shipments of items related to WMD 48 States reported providing technical support that would assist border control authorities in detecting, reporting or interdicting shipments of items related to WMD

14. 1540 Reporting: Trade Controls 80 States have some export control legislation concerning WMD items 80 States have some export control legislation concerning WMD items 69 have penalties associated with that legislation69 have penalties associated with that legislation 69 States reported that they licensed exports and imports or licensed traders or both 69 States reported that they licensed exports and imports or licensed traders or both Most have an interagency system to review export licensesMost have an interagency system to review export licenses 66 States had control lists of items for export 66 States had control lists of items for export Most indicate that their control lists correspond with the supplier groups listsMost indicate that their control lists correspond with the supplier groups lists 44 States exercise catch-all controls44 States exercise catch-all controls 49 States control transactions based on the nature of the end-user or the end-use of the items involved49 States control transactions based on the nature of the end-user or the end-use of the items involved 54, 33, and 42 States, respectively, indicated that they control the transit, trans-shipment, or re-export of items related to WMD 54, 33, and 42 States, respectively, indicated that they control the transit, trans-shipment, or re-export of items related to WMD

15. Measures Taken to Adopt Appropriate Effective WMD Nonproliferation Border and Export Controls Number of States Number of Measures Taken

16. Moving Toward More Implementation The April 2006 report by the 1540 Security Council recommended that the Security Council encourage States to provide additional information on national implementation as an ongoing process, including, for instance, in the form of a road map or action plan,,,, The April 2006 report by the 1540 Security Council recommended that the Security Council encourage States to provide additional information on national implementation as an ongoing process, including, for instance, in the form of a road map or action plan,,,, After a November 2006 workshop on UNSCR 1540, the Organization for Security and Cooperation in Europe (OSCE) adopted Decision No. 10/06 that calls on its 56 participating States to submit additional information to the 1540 Committee, including the preparation of plans for addressing remaining measures to be taken to fully implement the resolution… After a November 2006 workshop on UNSCR 1540, the Organization for Security and Cooperation in Europe (OSCE) adopted Decision No. 10/06 that calls on its 56 participating States to submit additional information to the 1540 Committee, including the preparation of plans for addressing remaining measures to be taken to fully implement the resolution…

17. Planning for More Implementation While each state can prepare a successful action plan using different approaches, an early element usually includes conducting a gap analysis While each state can prepare a successful action plan using different approaches, an early element usually includes conducting a gap analysis The 1540 Committee has prepared matrices for each reporting state that can help in constructing a gap analysis for both national planning and for seeking or providing international assistance The 1540 Committee has prepared matrices for each reporting state that can help in constructing a gap analysis for both national planning and for seeking or providing international assistance

18. The 1540 Matrix: A Planning Tool for National Action? Each matrix identifies gaps between the obligations of UNSC Resolution 1540 (2004) and national implementation measures Each matrix identifies gaps between the obligations of UNSC Resolution 1540 (2004) and national implementation measures Blank fields or question marks indicate that a gap may existBlank fields or question marks indicate that a gap may exist Known gaps could become priorities for national action Known gaps could become priorities for national action Measure Legal Framewor k Penalties / Enforceme nt e.g., Individual Licensing X ? Possible priority for action e.g., General Licensing ? Possible priority for action Possible priority for action

19. Summary UNSC Resolution 1540 (2004) complements the WMD nonproliferation treaty obligationsUNSC Resolution 1540 (2004) complements the WMD nonproliferation treaty obligations Many States have expressed their commitment to preventing the proliferation of WMD to non-state actorsMany States have expressed their commitment to preventing the proliferation of WMD to non-state actors Unfortunately, far fewer have taken many, if any, steps to implement their obligationsUnfortunately, far fewer have taken many, if any, steps to implement their obligations The OSCE participating States have recently agreed to provide further information to the 1540 Committee regarding on-going implementation of the resolution, including, for example, the preparation of implementation plansThe OSCE participating States have recently agreed to provide further information to the 1540 Committee regarding on-going implementation of the resolution, including, for example, the preparation of implementation plans