Regional Workshop on National Implementation of the Biological WRegional Workshop on National Implementation of the Biological Weapons Convention eapons Convention for South and Southfor South and South--East AsiaEast Asia, 3, 3--4 September 2013, Kuala Lumpur, Malaysia4 September 2013, Kuala Lumpur, Malaysia

Dana Perkins, PhDDana Perkins, PhD1540 Committee Expert1540 Committee Expert

Biological Risk Management and theUnited Nations Security Council Resolution 1540:

Implementation and Technical Assistance in South and South-East Asia

Biological Risk Management and theBiological Risk Management and theUnited Nations Security Council Resolution 1540:United Nations Security Council Resolution 1540:

Implementation and Technical Assistance in South and SouthImplementation and Technical Assistance in South and South--East AsiaEast Asia

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

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

Security Council Meets on NonSecurity Council Meets on Non--Proliferation of WMDsProliferation of WMDsUN Photo / Eskinder Debebe, 28 April 2004UN Photo / Eskinder Debebe, 28 April 2004

Resolution 1540 (2004) imposes binding obligations on all States to adopt legislation to adopt legislation to prevent the proliferationprevent the proliferation of nuclear, chemical and biological weaponsbiological weapons, and their means of delivery, and establish appropriate domestic controls over related materialsestablish appropriate domestic controls over related materials to prevent their illicit trafficking.

The Security Council decided “to establishestablish……a Committee of the Securitya Committee of the SecurityCouncilCouncil, consisting of all members of the Council, which will, calling as appropriate on other expertise, report to the Security Council for its examination, on the implereport to the Security Council for its examination, on the implementation mentation of this resolutionof this resolution…… and calls upon States to…report… to the Committee on steps they have taken or intend to take to implement this resolution”.

Resolution 1540 (2004) at a glance: 113 specific prohibitions, 152 controlled activities, at least 8 recommended activities (unofficial count)

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

Related materials:Related materials: materials, equipment and technology covered bycovered by relevant relevant multilateral treaties and arrangements, multilateral treaties and 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) and antiResolution 1540 (2004) and anti--terrorism terrorism provisionsprovisions

• Resolution 1540 (2004) imposes obligations under Chapter VII to deal with the threat to peace and security posed inter alia by links between terrorism, non-State actors and WMDs

•The Security Council has encouraged States to unilaterally define terrorism in national law

While not expressly framed as a definition, the Security Council recalls that the following acts are never justifiable: “. . . criminal acts, including against civilians, committed with the intent to cause death or serious bodily injury, or taking of hostages, with the purpose to provoke a state of terror in the general public or in a group of persons or particular persons, intimidate a population or compel a government or an international organization to do or to abstain from doing any act, which constitute offences within the scope of and as defined in the international conventions and protocols relating to terrorism…” and “calls upon all States to prevent such acts…”– Security Council resolution 1566 (2004)

AntiAnti--terrorism provisions and biosecurity in terrorism provisions and biosecurity in national reports to the 1540 Committeenational reports to the 1540 Committee

Excerpts from the Philippines National report to the 1540 Committee, 02 July 2013

• As biotechnology expands to benefit medicine, agriculture, and basic life sciences, the risk of misuse of science & technology will proportionally increase

• Traditionally, there are also connections between state weapons programs and terrorist capabilities, and the possibility of nonthe possibility of non--state actors state actors acquiring weapons from a state cannot acquiring weapons from a state cannot be ruled outbe 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

Biological RisksBiological Risks

Despite the increasing threat posed by extremist violent groups and individuals, trans-national criminal activities, and terrorism (including “lone wolf” type), there is low awareness in the life science community about the international non-proliferation regime

Despite the increasing threat posed by extremist violent groups and individuals, trans-national criminal activities, and terrorism (including “lone wolf” type), there is low awareness in the life science community low awareness in the life science community about the international nonabout the international non--proliferation regimeproliferation regime

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1540 matrix fields

Resolution 1540 (2004):Resolution 1540 (2004): Status of implementationStatus of implementation

The comprehensive review of 2009 acknowledged the significant number of measures that States have taken to implement obligations under resolution 1540 (2004), but identified some areas in which States have adopted fewer measures, such as biological weapons, means of delivery, national control lists, access to related materials and financing of prohibited or illicit proliferation activities -- S/2011/579

The comprehensive review of 2009 acknowledged the significant number of measures that States have taken to implement obligations under resolution 1540 (2004), but identified some areas in which States have adopted fewer measures, such as biological weaponsbiological weapons, means of deliverymeans of delivery, , national control listsnational control lists, , access to related materialsaccess to related materials and and financing of prohibited or illicit proliferation financing of prohibited or illicit proliferation activitiesactivities --- S/2011/579

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

* 2010 data

Complementary actions and additional stakeholders may Complementary actions and additional stakeholders may be needed to address the whole spectrum of riskbe needed to address the whole spectrum of risk

Codes of conductCodes of conduct

Building a security Building a security culture and culture and responsible responsible

conduct of scienceconduct of science

Underpinning National Code of Conduct on Biosecurity in Indonesia, Nusa Dua Bali, Indonesia, 13-15 Oct 2012

Resolution 1540 (2004):Resolution 1540 (2004): How to Request or Offer AssistanceHow to Request or Offer Assistance

• Assistance requests should be formally submitted by States to the 1540 Committee, e.g. by using the Template on Assistance

• States and International, Regional and Subregional Organisations are urged to inform the Committee about areas in which they are able to provide assistance and also provide point of contact information

Secretariat of the 1540 CommitteeSecretariat of the 1540 CommitteeAttention: Chairman, 1540 CommitteeAttention: Chairman, 1540 CommitteeH.E. Ambassador Kim Sook,Permanent Representative ofThe Republic of Korea to the United Nations730 Third Avenue, TB-08040E, United Nations, New York, NY 10017Fax: +1 (212) 963-1300Email: sc-1540-Committee@un.org

MatchMatch--Making At WorkMaking At Work• In 2010, the 1540 Committee adopted revised

procedures “to rationalize, improve and accelerate response to assistance requests and facilitate match- making”

•• Authentication of requests and handling of Authentication of requests and handling of informal requestsinformal requests (i.e. from a non-State entity or an NGO, requests addressed to international organizations, or requests not “in proper form”)

•• Processing the requestProcessing the requesto An official request in a proper form is

circulated to the Committee members, UNODA and the Committee experts for information

o The Chair will send to the requestor a letter of acknowledgement

o Unless notified to the contrary by the requesting State within 5 working days, the Chair will send a note verbale with the request to the potential assistance providers

o Unless notified to the contrary by the requesting State within 5 working days, the experts will prepare a summary of the request and post it on the 1540 website

•• ““MatchMatch--makingmaking””o Informal “match-making” by experts as advised

by the requestoro The list of potential assistance providers is

updated periodically by the Committeeo The Chair will circulate to the Committee

members the offers of assistanceo The Chair will send a letter of acknowledgment to

the State / organization offering assistance and will send a letter to the requestor with informing about the offer(s)

•• FollowFollow--upupo The Chair will send a letter to requestor one year

after the date of the request inquiring whether the request has been met

o The experts will brief the Committee on the “match-making” efforts every two months

•• General provisionsGeneral provisionso At any step of the proposed procedure any

member of the Committee may request that a specific request for assistance be discussed by the WG on assistance, which will then advise the Committee how to handle that particular request

http://www.un.org/en/sc/1540/assistance/facilitating-assistance.shtml

Overview of Requests for AssistanceOverview of Requests for Assistance• As of 01 September 2013, 53 States and

two Regional / Subregional Organisations have requested assistance

• Sources of requests: National reports, National Implementation Action Plans, Notes Verbale, use of the template for assistance

• Overall range: securing materials, general assistance needs with regard to WMD non-proliferation legislative framework, awareness raising or training needs in border and export controls, etc.

• 14 States specifically requested assistance in the bio area (Albania, Algeria, Armenia, Bahamas, Barbados, Colombia, DR Congo, Grenada, Guatemala, Iraq, Kenya, Kyrgyzstan, Mexico, and Uganda)

http://www.un.org/en/sc/1540/assistance/general-information.shtml

Requests for Assistance related to BWCRequests for Assistance related to BWC -- -- Illustrative Examples Illustrative Examples -- --

“1. Provision of sophisticated radioactive, chemical and biological detection equipmentbiological detection equipment.2. Organizing of professional training and professional training and exerciseexercise, including those with international attendance.”

“…need help to develop a national control list for the dual use items based on relevant international arrangements (CWC, BWCBWC…”

“The general areas identified include:(a) Drafting of legislationDrafting of legislation;(b) Mechanisms for accounting for and accounting for and securingsecuring nuclear, chemical and biological material in use, storage or transport;(c) Appropriate physical protection measures;(d) Strengthening of controls on all borders regarding imports, exports and reimports, exports and re--exportsexports;(e) Training of security forcesTraining of security forces in handling nuclear, chemical and biological material or in performing duties in the vicinity of such potentially hazardous substances”.

“…Welcomes proposals to establish both effective international cooperation mechanisms for investigating suspicious outbreaks of investigating suspicious outbreaks of diseasesdiseases and procedures for addressing concerns relating to compliance with the [Biological Weapons] Convention[Biological Weapons] Convention, as well as, inter alia, proposals to train personneltrain personnel to work as part of international rapid response teams in the event of biological emergencies”.

Requests for Assistance from South & SouthRequests for Assistance from South & South--East AsiaEast Asia -- -- Illustrative Examples Illustrative Examples -- --

“Thailand welcomes international support and assistance to help develop more effective national export, transit and transshipments controls over WMD, their means of delivery and related dual use items. Thailand seeks advice from experts on identification of WMD-related materials and dual use items. Thailand needs training courses and workshop to exchange views and experience on how to effectively detect, deter, prevent and combat the transport of illicit WMD and related materials as well as trafficking and brokering which is consistent with international law.”--National report to the 1540 Committee, 5 Nov 2004National report to the 1540 Committee, 28 Oct 2004

The General Department of Viet Nam Customs wishes to receive assistance in combating against WMD and their related materials, as follows:(i) A database system to keep track of those who exchange, sell weapons and terrorists; establish an up-to-date information technology system within and outside the Custom sector for compliance management, risk management and exchange of electronic data, so as to control most effectively the transport of WMD (ii) Information on non-proliferation and terrorism prevention in general, and on trans-border smuggling and transport of banned goods, and state crimes in particular; (iii) Opportunities to participate in conferences, exchange experience between Viet Nam Customs and Customs of other countries, international organizations in the non-proliferation field; (iv) Means to strengthen goods control and monitor (such as video camera, X-ray machines, et cetera); (v) Training in skills to detect, identify and control WMD and their related materials.– Note Verbale to the 1540 Committee, 7 March 2008

Overview of Offers for AssistanceOverview of Offers for Assistance

• As of 01 September 2013, 46 States have offered assistance

• The 1540 website also posts information on Assistance Programmes and Offers from International, Regional and Subregional Organizations and Other Arrangements

• Some States have both requested and offered assistance

• Assistance is offered on a bilateral basis and/or through international organizations

• Overall range: cooperation programs, specific measures, case-by-case basis etc.

• South and South-Asia States ofering assistance: Malaysia, Singapore, India, Pakistan

http://www.un.org/en/sc/1540/assistance/general-information.shtml

Offers of Assistance on BWC implementationOffers of Assistance on BWC implementation -- -- Illustrative Examples Illustrative Examples -- --

“…CanadaCanada could provide the following types of assistance to fight CBRN terrorism…: legislative drafting and legal policy legislative drafting and legal policy assistance related to the ratification and assistance related to the ratification and implementation of nonimplementation of non--proliferation and arms proliferation and arms controlcontrol--related conventions (e.g. the CWC related conventions (e.g. the CWC and the and the BTWCBTWC); health security initiatives with biobio--terrorismterrorism applications such as the establishment of disease surveillance systems; export controlsexport controls training; training in biobio--safety/security standardssafety/security standards; detection and detection and decontaminationdecontamination of chemical, biological and radiological terror agents; food safety, food safety, animal and plant health initiativesanimal and plant health initiatives…”

“In view of PakistanPakistan’s experience in implementation of implementation of various treaties regimes including CWC, CPPNM and various treaties regimes including CWC, CPPNM and BWCBWC and its elaborate legislative framework in the safety and security of nuclear technology and material, Pakistan is in a position to provide assistance, as appropriate, in response to specific requests, to the states lacking the legal and regulatory infrastructure, implementation experience and/or resources for fulfilling the provisions of the Security Council Resolution 1540 (2004)”.

“The United StatesUnited States has strong outreach programs that provide information and assistance to states on joining and assistance to states on joining and implementing the implementing the Biological Weapons Convention (BWC).Biological Weapons Convention (BWC). The United States also provides assistance, upon request, to existing BWC States Parties on issues relating to the completion of implementation requirements, and strengthening biosafety and pathogen security legislation strengthening biosafety and pathogen security legislation and policiesand policies”.

“CubaCuba, through the CITMA National Biosafety Centre, is prepared to contribute to exchanges of experience in the exchanges of experience in the implementation of the implementation of the Biological Weapons ConventionBiological Weapons Convention by means of courses, seminars, workshops and other activities, basically in the Latin American and Caribbean region”.

“The Russian side is also prepared to provide assistance to Yerevan in completing the necessary legal basis for carrying out the provisions of CWC and BTWC BTWC if these questions are of relevance for the Armenian side”--Letter from Russian Russian FederationFederation dated 29 May 2009 on Armenia’s assistance request .

• Due to their specialized expertise and regional awareness, relevant international, regional and subregional organizations have a crucial rolecrucial role in supporting the implementation of resolution 1540 (2004)

• Currently, the Assistance Programmes and Offers from International, Regional and Subregional Organizations and Other Arrangements include those from:

o United Nations (UNIDIR, UNODC, IMO, IAEA); OPCW; WCO; EU; IMF; OSCE (CPC, FSC); World Bank; Zangger Committee; NSG; MTCR; INTERPOL

• BWC ISU nominated by the BWC Chair as point of contact for BWC issues (Article X database not yet listed under the 1540 Committee’s Assistance Programmes and Offers from International, Regional and Subregional Organizations and Other Arrangements)

•• WHO, OIE, andWHO, OIE, and FAOFAO are encouraged to enhance cooperation and information sharing with the 1540 Committee on technical assistance and all other issues of relevance for the implementation of resolution 1540 (2004), within their mandates, and provide the 1540 Committee with a point of contactpoint of contact

Cooperation on assistanceCooperation on assistance with International Organizationswith International Organizations

Sharing of Sharing of ““experience, lessons learned and experience, lessons learned and effective practiceseffective practices““

“[Security Council] urges States and relevant international, regional and States and relevant international, regional and subregional organizationssubregional 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 assistancepoint of contact for assistance…

[and]

urges the 1540 Committee to continue to engage actively with States and relevant international, regional and subregional organizations to promote the sharing of experience, lessons learned and effective practicessharing of experience, lessons learned and effective practices, in the , in the areas covered by resolution 1540 (2004), drawing in particular oareas covered by resolution 1540 (2004), drawing in particular on n information provided by States as well as examples of successfulinformation provided by States as well as examples of successful assistance, and to liaise on the availability of programmes whicassistance, and to liaise on the availability of programmes which might h might facilitate the implementation of resolution 1540 (2004),facilitate the implementation of resolution 1540 (2004), while bearing in mind that customized assistance is useful for the effective implementation of resolution 1540 (2004) at national levels” – Security Council Resolution 1977 (2011)

Other Opportunities for MatchOther Opportunities for Match--MakingMaking• The Group of experts participates in the GPWG meetings

•• The The G8 Global Partnership Against the Spread of Weapons and G8 Global Partnership Against the Spread of Weapons and Materials of Mass DestructionMaterials of Mass Destruction (G8 GP) is addressing BW nonproliferation, disarmament, and counterterrorism through cooperative projects in areas such as scientist engagement, biosafety/biosecurity, export controls, combating illicit trafficking, and supporting the implementation of resolution 1540 (2004)

• The Biological Security WG was established in 2012

• The 2012 “Biological Security Deliverables” of the GPWG/BSWG:

o Secure & account for materials that represent bio proliferation riskso Develop and maintain appropriate & effective measures to prevent,

prepare for, & respond to the deliberate misuse of biological agentso Strengthen national and global networks to rapidly identify, confirm

and respond to biological attackso Reduce proliferation risks through the advancement and promotion

of safe and responsible conduct in the biological scienceso Reinforce and strengthen biological nonproliferation principles,

practices and instrumentsAssistance includes promoting the universalization and full implementation of existing non-proliferation obligations, such as under the Biological Weapons Convention, the 1925 Geneva the Biological Weapons Convention, the 1925 Geneva Protocol and resolution 1540Protocol and resolution 1540…

With the objective of facilitating technical assistance for the implementation of resolution 1540 (2004) by matching offers and requests for assistance, the Committee and its experts continued and intensified the dialogue with the Working Group of the G-8 Global Partnership Against the Spread of Weapons and Materials of Mass Destruction (GPWG) on the consolidated list of assistance requests… - - S/AC.44/2012/OC.48

With the objective of facilitating technical assistance for the implementation of resolution 1540 (2004) by matching offers and requests for assistance, the Committee and its experts continued and intensified the dialogue with the Working the Working Group of the GGroup of the G--8 8 Global Partnership Global Partnership Against the Spread of Against the Spread of Weapons and Materials Weapons and Materials of Mass Destruction of Mass Destruction (GPWG)(GPWG) on the consolidated list of consolidated list of assistance requestsassistance requests… - - S/AC.44/2012/OC.48

Overlap and synergy in capacity building, Overlap and synergy in capacity building, assistance and cooperationassistance and cooperation

BWC BWC –– Article XArticle X: “…the [7th Review] Conference agrees on the value of working together to promote capacity building in the fields of vaccine and drug production, disease surveillance, detection, diagnosis, and containment of infectious diseases as well as biological risk management…”

o The 7th Review Conference decided to establish a database system to facilitate requests for and offers of exchange of assistance and cooperation

o States Parties are invited, individually or together with other states or international organizations, to submit on a voluntary basis to the ISU any requirements, needs or offers for assistance…

Resolution 1540 Resolution 1540 –– OP 7OP 7: recognizes that some States may require assistance in implementing the resolution, while others may offer assistance;

o UNSC resolutions 1810 (2008) and 1977 (2011) have confirmed and reinforced the clearinghouse role of the 1540 Committee

o In 2010, the 1540 Committee adopted revised procedures to improve and accelerate response to assistance requests and facilitate match- making; see: http://www.un.org/sc/1540/assistance.shtml

Resolution 1540 (2004):Resolution 1540 (2004): Bio outreachBio outreach

• The Security Council, through resolution 1977 (2011) requested the 1540 Committee to “continue to organize and participate in outreach eventscontinue to organize and participate in outreach events…… and promote the refinement of these outreach efforts to focus on spepromote the refinement of these outreach efforts to focus on specific thematic cific thematic and regional issues related to implementationand regional issues related to implementation”” but but thematic refinement of outreach remains challenging

•• Since the adoption of resolution 1540 (2004) only two workshops Since the adoption of resolution 1540 (2004) only two workshops were were organized to discuss the implementation of resolution 1540 (2004organized to discuss the implementation of resolution 1540 (2004) specifically ) specifically in the bio area (in Genevain the bio area (in Geneva--2005 & Nairobi2005 & Nairobi--20102010))

• Considerations from other outreach events with a bio focus attended by the 1540 experts in 2013:

o There is a general low level awarenesslow level awareness of the ways and means of national implementation of resolution 1540 as it relates to biosecurity which suggests that there is a need to ””dede--mystifymystify”” the definitions and purposethe definitions and purpose of resolution 1540 when addressing securing and accountability of BW- related materials

oo Sharing effective practices in biosafety/biosecurity and emerginSharing effective practices in biosafety/biosecurity and emerging g technologies' governancetechnologies' governance (for instance on synthetic biology) is relevant to implementation

o There is a need to develop regionally customized educational and training regionally customized educational and training materialsmaterials on the biosecurity link to resolution 1540, bio risk management and building a culture of responsibility in life sciences

Conclusions and recommendationsConclusions and recommendations• The EU / UNODAEU / UNODA--Geneva regional workshops on BWC implementationGeneva regional workshops on BWC implementation are currently the

main technical outreach mechanism to national authorities on bio 1540

• The BWC regional workshops should continue to promote the integrationintegration into the national objectives of BWCBWC’’ss implementation the common objectives of resolutionresolution 1540 1540 obligations and relevant national implementation action plans (including inter alia those related to International Health RegulationsInternational Health Regulations and countercounter--terrorismterrorism)

• States are encouraged to provide updates to the 1540 Committee on offers and requests provide updates to the 1540 Committee on offers and requests for assistancefor assistance

•• WHO, OIE, andWHO, OIE, and FAOFAO are encouraged to enhance cooperation and information sharing with the 1540 Committee on technical assistance and all other issues of relevance for the implementation of resolution 1540 (2004), within their mandates, and provide the 1540 Committee with a point of contactpoint of contact

•• Strengthening information sharing between the BWC ISU and the 15Strengthening information sharing between the BWC ISU and the 1540 Committee and 40 Committee and its Group of expertsits Group of experts with regard to assistance mechanisms would be beneficial

•• Regular participation of the 1540 Committee in the BWC Meetings Regular participation of the 1540 Committee in the BWC Meetings of Experts and/or of Experts and/or Meetings of States PartiesMeetings of States Parties will increase awareness of States on the synergy and convergence of measures of implementation and reporting on BWC and resolution 1540 (2004)

Dana Perkins, PhDDana Perkins, PhD1540 Committee Expert 1540 Committee Expert United NationsUnited Nations300 East 42300 East 42ndnd St., Suite INSt., Suite IN--03074H03074HNew York, NY 10017New York, NY 10017Tel: +1 (917) 367 6023 (office)Tel: +1 (917) 367 6023 (office)EE--mail:mail: PerkinsD@un.orgerkinsD@un.org

Contact informationContact information

Collective eCollective e--mail: 1540experts@un.orgmail: 1540experts@un.org

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