Dana Perkins, PhDDana Perkins, PhD1540 Committee Expert1540 Committee Expert

Security Council Resolution 1540 Security Council Resolution 1540

and Personnel Reliability Measuresand Personnel Reliability Measures

Security Council Resolution 1540 Security Council Resolution 1540

and Personnel Reliability Measuresand Personnel Reliability Measures

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 ThreatsBiological 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 the possibility of non-state actors acquiring weapons from a state cannot be ruled outfrom 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 International nonproliferation, arms control conventions, and threat reduction initiatives serve as the principal means to prevent illicit trafficking of biological initiatives serve as the principal means to prevent illicit trafficking of biological

materials and technologiesmaterials and technologies

Biological Threats:Biological Threats:Where is “The Perfect Storm”?Where is “The Perfect Storm”?

IntentIntentMotivationMotivationCommitmentCommitment

AcquisitionAcquisitionPossessionPossession

Scientific/Scientific/TechnicalTechnicalCapabilityCapability

USEUSE(CDC photo)

“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”

BWCBWC

UNSCR 1540UNSCR 1540 INTERPOL

INTERPOL

FAOFAO

WHOWHO

OIEOIE

NGOsNGOs

Scientific OrganizationsScientific OrganizationsProfessional AssociationsProfessional Associations

GovernmentsGovernmentsPSIPSI

IndustryIndustry

AcademiaAcademia

IndividualsIndividualsG8 G

PG8 G

P

NATONATOAustralia GroupAustralia Group

OSCEOSCEASEANASEAN

… … and othersand others

Resolution 1540 (2004):Resolution 1540 (2004):Binding Obligations on All StatesBinding Obligations on All States

and Synergy with International Regimesand Synergy with International Regimes

Security Council Meets on Non-Proliferation of Weapons of Mass Destruction UN Photo / Eskinder Debebe, 28 April 2004

Resolution 1540 (2004) imposes binding obligations on all States to adopt legislation to prevent the proliferation of nuclear, chemical and biological biological weaponsweapons, and their means of delivery, and establish appropriate domestic establish appropriate domestic controls over related materialscontrols over related materials to prevent their illicit trafficking by non-State actors.

“ … calls upon States to renew and fulfill their commitment to multilateral calls upon States to renew and fulfill their commitment to multilateral cooperationcooperation, 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 ConventionBiological and Toxin Weapons Convention, as important means of pursuing and achieving their common objectives in the area of common objectives in the area of non-proliferation and of promoting international cooperation for peaceful non-proliferation and of promoting international cooperation for peaceful purposespurposes ”, UN Security Council Resolution 1540 (2004), http://www.un.org/sc/1540

National legislation on prohibitions (OP.1 & 2)

Domestic controls and enforcement (OP. 3a & 3b)o Accounting for, securing, physical protection

o Border controls

o 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)

Resolution 1540 (2004) - HighlightsResolution 1540 (2004) - Highlights

OP = Operative Paragraph of Resolution 1540 (2004)

The Committee established pursuant to OP. 4 of res. 1540 (2004) is known as

thethe 1540 Committee1540 Committee

The 1540 Committee is a subsidiary body of the Security Council

Chair:Chair: ROK; Vice-Chairs:Vice-Chairs: Azerbaijan, Luxembourg, & UK; Members:Members: Argentina,

Azerbaijan, Australia, China, France, Guatemala, Luxembourg, Morocco,

Pakistan, ROK, Russia, Rwanda, Togo, UK, & US

The current Group of ExpertsGroup of Experts was established per resolutions 1977 (2011)

and 2055 (2012) “to assist the Committee in carrying out its mandate…”“to assist the Committee in carrying out its mandate…”

The 1540 CommitteeThe 1540 CommitteeThe 1540 CommitteeThe 1540 Committee

Ambassador Kim Sook1540 Committee Chairman

The 54th formal meeting of the 1540 Committee,20 February 2013

TheThe 1540 Committee and its Experts 1540 Committee and its Experts

• Receive and examine reports Receive and examine reports to to monitor monitor implementationimplementation

• Promote greater awareness Promote greater awareness of resolution 1540, including of resolution 1540, including by by outreach and outreach and dialogue with Member dialogue with Member StatesStates

• Facilitate capacity Facilitate capacity building and building and assistanceassistance by providing a by providing a “clearing house”“clearing house” function function

• Tools:Tools:o National matriceso Template for assistance

requestso 1540 Committee website

• Ways and Means:Ways and Means:o Cooperation with other

organizationso Outreach eventso Visits to States at their invitation

http://www.un.org/sc/1540http://www.un.org/sc/1540

The 1540 MatrixThe 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 improvementto 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.shtmlhttp://www.un.org/en/sc/1540/national-implementation/1540-matrix/committee-approved-matrices.shtml

Definitions for the purpose of Definitions for the purpose of resolution 1540 (2004)resolution 1540 (2004)

• Means of delivery: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: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:Related materials: materials, equipment and technology covered by covered by relevant multilateral treaties & arrangements, relevant multilateral treaties & arrangements, or included on national control listsor 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) andResolution 1540 (2004) and national control lists 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 Biological agents under the BWC and resolution 1540 (2004)resolution 1540 (2004)

• Almost any disease-causing organismAlmost any disease-causing organism (such as bacteria, (such as bacteria, viruses, fungi, prions or rickettsiae) or toxin (poisons derived from animals, viruses, fungi, prions or rickettsiae) or toxin (poisons derived from animals, plants or microorganisms, or similar substances synthetically produced) can plants or microorganisms, or similar substances synthetically produced) can be used in biological weapons” - Biological Weapons Convention (BWC) –be used in biological weapons” - Biological Weapons Convention (BWC) –

• As implied in As implied in Article I of the BWCArticle I of the BWC, which forbids states parties , which forbids states parties to develop, produce, stockpile, or otherwise acquire or retain to develop, produce, stockpile, or otherwise acquire or retain ““microbial or other biological agents, or toxins whatever their origin or microbial or other biological agents, or toxins whatever their origin or

method of production, of types and in purposes”,method of production, of types and in purposes”, the treaty the treaty applies to biological agents and toxins that are applies to biological agents and toxins that are synthetically produced or modifiedsynthetically produced or modified

• Similarly, such biological agents and toxins fall under the definition of Similarly, such biological agents and toxins fall under the definition of

““related materialsrelated materials” for the purpose of ” for the purpose of resolution 1540resolution 1540

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

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, & transportproduction, use, storage, & transport

• Regulations for physical protection of facilities / materials / transportsfacilities / materials / transports

• Licensing/registration of facilities / facilities / peoplepeople handling biological materials

• Reliability check of personnelReliability check of personnel

• Measures to account for / secure / physically protect means of deliverymeans of delivery

• Genetic engineering regulationsenetic engineering regulations

• Other legislation / regulations related to safety and security of biological safety and security of biological materialsmaterials

Domestic control of BW-related materials & means of delivery Domestic control of BW-related materials & means of delivery

(resolution 1540, Operative Paragraphs 3 a & b)(resolution 1540, Operative Paragraphs 3 a & b)**

* 1540 matrix fields

Example of training requirements for Example of training requirements for chemical and biological reliability programschemical and biological reliability programs

https://www.ecbc.army.mil/CBRNE-MSC/prp.html

Select Data Analysis ofSelect Data Analysis of1540 Committee-approved Matrices1540 Committee-approved Matrices

* 2010 data

Select Entries from theSelect Entries from the1540 Committee-approved Matrices1540 Committee-approved Matrices

Japan

Australia

Switzerland

UK

USA

Assistance and Capacity-BuildingAssistance 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

Requests for Assistance (RFAs)Requests for Assistance (RFAs)

All RFAs correspondence should be sent to:All RFAs correspondence should be sent to:

H.E. Ambassador KIM Sook, Chairman of 1540 CommitteeSecretariat of the 1540 Committee730 Third Avenue, TB-08040EUnited Nations, New York, NY 10017Fax: 212-963-1300, Email: sc-1540-Committee@un.orgsc-1540-Committee@un.org

http://www.un.org/sc/1540

““Governments alone cannot confront the Governments alone cannot confront the

risks posed by biological weapons ... to risks posed by biological weapons ... to

manage the full spectrum of biological manage the full spectrum of biological

risks, you need a cohesive, coordinated risks, you need a cohesive, coordinated

network of activities and resources. Such network of activities and resources. Such

a network will help to ensure that a network will help to ensure that

biological science and technology can be biological science and technology can be

safely and securely developed for the safely and securely developed for the

benefit of all.”benefit of all.”- - Ban Ki-moon, UN Secretary-General, 2008Ban Ki-moon, UN Secretary-General, 2008

Dana Perkins, PhDDana Perkins, PhD1540 Committee Expert 1540 Committee Expert

United NationsUnited Nations

300 East 42300 East 42ndnd St., Suite IN-03074H St., Suite IN-03074H

New York, NY 10017New York, NY 10017

Tel: +1 (917) 367 6023 (office)Tel: +1 (917) 367 6023 (office)

E-mail:E-mail: PerkinsD@un.orgerkinsD@un.org

Contact information for Contact information for questions or comments:questions or comments:

Collective e-mail: 1540experts@un.orgCollective e-mail: 1540experts@un.org