1. Biological Risk Management and the
United Nations Security Council Resolution 1540:
Ways and Means for Implementation and Technical Assistance
Dana Perkins, PhD
1540 Committee Expert
Regional Workshop on National Implementation of the Biological Weapons Convention for Eastern Europe, May, 2013, Kiev, Ukraine
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

2. Resolution 1540 (2004): Binding Obligations on All States
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.
The Security Council decided “to establish…a Committee of the Security
Council, 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 implementation of 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
Security Council Meets on Non-Proliferation of WMDs
UN Photo / Eskinder Debebe, 28 April 2004

3. Biological Risk Management
Reliability
check of
personnel
account for /
Measures to
production,
secure
use, storage,
& transport
Biosecurity
Biosafety
Measures to
account for /
secure /
Physically
protect
means of
delivery
Regulations
for genetic
engineering work
Biosecurity
Other
legislation
/regulations
related to
safety and
security of
biological
materials
registration of
Licensing /
facilities / people
bio materials
handling
Regulations for
physical protection
of facilities /
materials /
transports
1540 matrix fields

4. Resolution 1540 (2004): Status of implementation
The comprehensive review of 2009 acknowledged the significant number of measures that States have taken to implement obligations under resolution (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
“While the status of implementation of the resolution continues to improve since 2004, much work remains to be done and the gravity of the threat remains considerable. To fully implement the resolution requires a long-term effort by States to meet all the requirements and recommendations of the resolution” -- Report by the 1540 Committee to the Security Council, Sep 2011
Resolution 1977 (2011) recognizes States’ progress in implementing resolution 1540 while noting that States have taken fewer measures in some of its areas

5. Resolution 1540 (2004): National Discretion and a Cooperative Approach
NATIONAL DISCRETION: The resolution identifies the obligations, States decide how to implement these obligations
COOPERATIVE APPROACH: The 1540 Committee is NOT a sanctions committee. It facilitates implementation through cooperation, dialogue, and as a clearinghouse for assistance
ASSISTANCE: The Security Council recognizes that some States may require assistance in implementing UNSCR 1540 (2004), and invites those in a position to do so to offer assistance. The 1540 Committee itself does not provide assistance but it has a match making role to facilitate assistance by others for implementation of the resolution

6. Resolution 1540 (2004): How 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 Committee
Attention: Chairman, 1540 Committee
H.E. Ambassador Kim Sook,
Permanent Representative of
The Republic of Korea to the United Nations
730 Third Avenue, TB-08040E, United Nations, New York, NY 10017
Fax: +1 (212)

7. Contributions “in kind”
“The Kingdom of Saudi Arabia expressed willingness to continue to work with the Committee, including through financial support for specific projects, that will effectively contribute to the implementation of resolution 1540 (2004) by States. In this regard, the Kingdom of Saudi Arabia pledged $500,000 for such activities.
The Government of the United States provided an additional $1.5 million to the UN Trust Fund for Global and Regional Disarmament bringing its total contribution to $4.5 million to support efforts to facilitate universal implementation of resolution 1540 (2004)” -- S/AC.44/2012/OC.48
Resolution 1977 (2011) encourages States… to provide resources to UNODA to assist States… and to make available “in kind” contributions or cost-free training and expertise to the 1540 Committee to help the group of experts meet requests for assistance in a timely and effective manner

8. Match-Making At Work “Match-making”
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 informal requests (i.e. from a non-State entity or an NGO, requests addressed to international organizations, or requests not “in proper form”)
Processing the request
An official request in a proper form is circulated to the Committee members, UNODA and the Committee experts for information
The Chair will send to the requestor a letter of acknowledgement
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
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
“Match-making”
Informal “match-making” by experts as advised by the requestor
The list of potential assistance providers is updated periodically by the Committee
The Chair will circulate to the Committee members the offers of assistance
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)
Follow-up
The Chair will send a letter to requestor one year after the date of the request inquiring whether the request has been met
The experts will brief the Committee on the “match-making” efforts every two months
General provisions
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

9. Overview of Requests for Assistance
As of 20 May 2013, 45 States and two Regional / Subregional Organisations requested assistance
Sources of requests: National reports, NVs, Use of Assistance Template
Overall range: legislative assistance, securing materials, professional training, detection or protection equipment, national control lists, strenghthening of border controls, etc.
11 States specifically requested assistance with 1540 implementation in the bio area (Algeria, Armenia, Bahamas, Barbados, Colombia, DR Congo, Ecuador, Guatemala, Iraq, Kenya, and Mexico)

10. Requests for Assistance - - Illustrative Examples - -
“…Welcomes proposals to establish both effective international cooperation mechanisms for investigating suspicious outbreaks of diseases and procedures for addressing concerns relating to compliance with the [Biological Weapons] Convention, as well as, inter alia, proposals to train personnel to work as part of international rapid response teams in the event of biological emergencies”.
“The general areas identified include:
(a) Drafting of legislation;
(b) Mechanisms for accounting for and securing 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 re-exports;
(e) Training of security forces in handling nuclear, chemical and biological material or in performing duties in the vicinity of such potentially hazardous substances”.
“1. Provision of sophisticated radioactive, chemical and biological detection equipment.
2. Organizing of professional training and exercise, including those with international attendance.”
“…need help to develop a national control list for the dual use items based on relevant international arrangements (CWC, BWC…”

11. Overview of Offers for Assistance
As of 20 May 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.

12. Offers of Assistance - - Illustrative Examples - -
“…Canada could provide the following types of assistance to fight CBRN terrorism…: legislative drafting and legal policy assistance related to the ratification and implementation of non-proliferation and arms control-related conventions (e.g. the CWC and the BTWC); health security initiatives with bio-terrorism applications such as the establishment of disease surveillance systems; export controls training; training in bio-safety/security standards; detection and decontamination of chemical, biological and radiological terror agents; food safety, animal and plant health initiatives…”
“The United States has strong outreach programs that provide information and assistance to states on joining and implementing the 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 and policies”.
“Cuba, through the CITMA National Biosafety Centre, is prepared to contribute to exchanges of experience in the implementation of the Biological Weapons Convention by means of courses, seminars, workshops and other activities, basically in the Latin American and Caribbean region”.
“Hungary is willing to provide assistance as appropriate to the states lacking the legal and regulatory infrastructure, implementation experience needed to fulfill the provisions of UNSCR1540”.
“In view of Pakistan’s experience in implementation of various treaties regimes including CWC, CPPNM and BWC 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)”.
“Romania is willing to contribute its share in providing assistance, as appropriate, in response to requests from states lacking the legal and regulatory infrastructure and implementation experience for fulfilling the provisions of resolution 1540 (2004). Technical assistance on export control legislation and “good practices” has been provided by Romania for countries within our 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 if these questions are of relevance for the Armenian side”--Letter from Russian Federation dated 29 May 2009 on Armenia’s assistance request .

13. Cooperation with International Organizations
Due to their specialized expertise and regional awareness, relevant international, regional and subregional organizations have a crucial role in supporting the implementation of resolution 1540 (2004)
The Security Council encourages IROs 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); they are also called upon to designate and provide the 1540 Committee with a point of contact
Currently, Assistance Programmes and Offers from International, Regional and Subregional Organizations and Other Arrangements include:
United Nations (UNIDR, UNODC); IAEA, OPCW, WCO, EU, IMF, OSCE (CPC, FSC), IMO, World Bank, Zangger Committee, NSG, MTCR
There are NO Assistance Programmes and Offers from International, Regional and Subregional Organizations and Other Arrangements specifically on BIO
INTERPOL submitted point of contact information but formal notification to the 1540 Committee as a potential assistance provider is still pending

14. BWC ISU is not a CTITF member

15. Other Opportunities for Match-Making
The Group of experts participates in the GPWG meetings
The G8 Global Partnership Against the Spread of Weapons and Materials 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:
Secure & account for materials that represent bio proliferation risks
Develop and maintain appropriate & effective measures to prevent, prepare for, & respond to the deliberate misuse of biological agents
Strengthen national and global networks to rapidly identify, confirm and respond to biological attacks
Reduce proliferation risks through the advancement and promotion of safe and responsible conduct in the biological sciences
Reinforce and strengthen biological nonproliferation principles, practices and instruments
Assistance includes promoting the universalization and full implementation of existing non-proliferation obligations, such as under the Biological Weapons Convention, the 1925 Geneva Protocol 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

16. Overlap and synergy in capacity building, assistance and cooperation
BWC – Article 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…”
The 7th Review Conference decided to establish a database system to facilitate requests for and offers of exchange of assistance and cooperation
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…
UNSCR 1540 – OP 7: recognizes that some States may require assistance in implementing the resolution, while others may offer assistance;
UNSCRs 1810 (2008) and 1977 (2011) have confirmed and reinforced the clearinghouse role of the 1540 Committee
In 2010, the 1540 Committee adopted revised procedures to improve and accelerate response to assistance requests and facilitate match-making; see:

17. Resolution 1540 (2004): Bio outreach
The Security Council, through resolution 1977 (2011) requested the 1540 Committee to “continue to organize and participate in outreach events… and promote the refinement of these outreach efforts to focus on specific thematic and regional issues related to implementation” but thematic refinement of outreach remains challenging
Since the adoption of resolution 1540 (2004) only two workshops were organized to discuss the implementation of resolution 1540 (2004) in the bio area (in Geneva-2005 & Nairobi-2010)
In 2013 (data as of 02 May 2013), the Group of experts attended 27 outreach events, 5 of them with a bio focus that revealed several cross-cutting issues:
There is a general low 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 ”de-mystify” the definitions and purpose of resolution 1540 when addressing securing and accountability of BW-related materials
Sharing effective practices of emerging technologies' governance (for instance on synthetic biology) is relevant to implementation
There is a need to develop regionally customized educational and training materials on the biosecurity link to resolution 1540, bio risk management and building a culture of responsibility in life sciences

18. Conclusions and recommendations
The EU / UNODA-Geneva 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 integration into the national objectives of BWC implementation the common objectives of resolution 1540 obligations and relevant national implementation action plans (including those related to International Health Regulations and/or “human security”)
States are encouraged to provide updates to the 1540 Committee on offers and requests for assistance
WHO, OIE, and FAO 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 contact
Strengthening information sharing between the BWC ISU and the 1540 Committee and its Group of experts with regard to assistance mechanisms would be beneficial
Participation of the 1540 Committee in the BWC Meetings of Experts and/or Meetings 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)

19. 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) (office)
Collective
Website: