1. Resolutions 1540 (2004) and 1977 (2011):
Resolutions 1540 (2004) and 1977 (2011):
Objectives, Mandate, Status of Implementation, and
Objectives, Mandate, Status of Implementation, and
Challenges
Challenges
Dana Perkins, PhD
1540 Committee Expert
UNSCR 1540 Civil Society Forum - Opportunities for Engagement
Vienna, Austria, 8-10 January 2013
Hosted by the Federal Ministry for European and International Affairs of Austria,
in cooperation with the United Nations Office for Disarmament Affairs
and organized by the Steering Committee of the Forum

2. Aide-Mémoire
25 April 2021
2005 Chair report
The 2011 review on The 2012 review on
the implementation of the implementation of
First Chair report resolution 1540 (2004) resolution 1540 (2004)
Comprehensive
Review
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015
Comprehensive
Review
NLT Dec 2016
11th POW: 01 June ‘12 - 31 May ‘13
Report on compliance Report on compliance Report on compliance
with resolution 1540 with resolution 1540 with resolution 1540
(2004) requirements (2004) requirements (2004) requirements

3. Resolution 1540 (2004) Overview
reats To the
Action with Respect to Thace, and  Adopted on 28 April 2004 under
Peace, Breaches of the Pe
Acts of Aggression Chapter VII of the UN Charter
UN Charter, Chapter VII, Articles 39-51
Article 39
The Security Council shall
determine the existence of any  First formal decision ever taken by the
threat to the peace, breach of the
peace, or act of aggression and Security Council to address the WMD
shall make recommendations, or
decide what measures shall be proliferation as a global threat to
taken… to maintain or restore
international peace and security. international peace and security
Article 41
The Security Council may decide
what measures not involving the  Imposes far reaching obligations on all
use of armed force are to be
employed to give effect to its States to take a series of steps to
decisions, and it may call upon
the Members of the United prevent proliferation of WMDs, their
Nations to apply such measures…
measures
means of delivery, and related materials
to non-state actors

4. Resolution 1540 (2004) - Objectives
 Enhance the capacity of all States to respond effectively to the threats posed
by the proliferation of WMD
 Prevent the proliferation of WMD, their means of delivery and related materials
WMD
 Fill the existing gaps in international law by preventing and deterring any non-
State actor from manufacturing, acquiring, possessing, developing,
transporting, transferring, or using WMD and their means of delivery, in
particular for terrorist purposes
Security Council Meets on Non-Proliferation of
Weapons of Mass Destruction
UN Photo/Eskinder Debebe, 28 April 2004

5. Resolution 1540 (2004)- Highlights
 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)

6. The 1540 Committee
 The Committee established pursuant to para. 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: AZE, LUX, & GBR; Members: ARG, AZE, AUS, CHN, FRA, GTM, LUX, MAR,
PAK, ROK, RUS, RWA, TGO, GBR, & USA
 Working Groups on Monitoring and National Implementation; Assistance; Transparency and
Implementation Assistance
Outreach; Cooperation with International Organizations including with committees 1267 & 1373
 A Senior Political Affairs Officer of the UN Department of Political Affairs (DPA) serves as Secretary of the
Committee, while the Office for Disarmament Affairs (UNODA) provides substantive and logistical support
 The current Group of Experts was established per resolutions 1977 (2011) and 2055 (2012) “to assist
the Committee in carrying out its mandate…”
The 52nd formal meeting of the 1540 Committee, Ambassador Kim Sook
19 December 2012 1540 Committee Chairman

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

8. The 1540 Matrix
• Information originates primarily from
national reports and is complemented
by official government information,
including that made available to
intergovernmental organizations
• The matrix template has 382 “fields”
covering national activities related to the
1540 operative paragraphs
• The national matrices are prepared by
the 1540 Committee
• 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
http://www.un.org/en/sc/1540/national-implementation/1540-matrix/committee-approved-matrices.shtml

9. Resolution 1673 (2006)- Highlights
• Calls upon all States that have not yet presented a first report on
steps they have taken or intend to take to implement resolution 1540
(2004) to submit such a report to the 1540 Committee without delay
• Encourages all States that have submitted such reports to provide, at
any time or upon the request of the 1540 Committee, additional
information on their implementation of resolution 1540 (2004)
• Extends the mandate of the 1540 Committee for a period of two years,
with the continued assistance of experts, until 27 April 2008
• Invites the 1540 Committee to explore with States and international,
regional and subregional organizations experience-sharing and
lessons learned in the areas covered by resolution 1540 (2004), and
(2004
the availability of programs which might facilitate the implementation
of resolution 1540 (2004)

10. Resolution 1810 (2008)
- Highlights, Achievements, & Challenges – (1)
• Again calls upon all States that have List of States yet to submit aafirst
List of States yet to submit first
not yet presented a first report on report as at 05 January 2013
report as at 05 January 2013
steps they have taken or intend to 1. Cape Verde
take to implement resolution 1540 1. Cape Verde
2. Central African Republic
(2004) to submit such a report to the 3. Chad African Republic
2. Central
3. Chad
1540 Committee without delay 4. Comoros
4. Comoros
5. DPRK
5. DPRK
6. Equatorial Guinea
6. Equatorial Guinea
• Encourages all States that have 7. Gambia
7. Gambia
8. Guinea
8. Guinea
submitted such reports to provide, at 9. Guinea-Bissau
9. Guinea-Bissau
any time or upon the request of the 10. Haiti
10. Haiti
1540 Committee, additional 11. Lesotho
11. Lesotho
information… 12. Liberia
12. Liberia
13. Malawi
13. Malawi
14. Mali
14. Mali
15. Mauritania
• Encourages the 1540 Committee to 15. Mauritania
16. Mozambique
engage actively with States and 16. Mozambique
17. Sao Tome and Principe
17. Sao Tome and Principe
relevant international, regional and 18. Solomon Islands
18. Solomon Islands
subregional organizations to 19. Somalia
19. Somalia
20. South Sudan
20. South Sudan
promote the sharing of experience 21. Swaziland
and lessons learned… and to liaise 21. Swaziland
22. Timor-Leste
22. Timor-Leste
on the availability of programs… 23. Zambia
23. Zambia
24. Zimbabwe
24. Zimbabwe

11. Resolution 1810 (2008)
- Highlights, Achievements, & Challenges – (2)
• Encourages all States to prepare on a
voluntary basis summary action plans,
plans
with the assistance of the 1540
Committee as appropriate…
• Requests the 1540 Committee to continue
to organize and participate in outreach
events at the regional, subregional and,
as appropriate, national level promoting
States’ implementation of resolution 1540
(2004)
As at 05 January 2013,
• Extended the mandate of the 1540 5 Member States
Committee for a period of three years, have submitted National Action Plans
with the continued assistance of experts,
until 25 April 2011
http://www.un.org/en/sc/1540/national-implementation/national-action-plans.shtml

12. Resolution 1977 (2011)
- Highlights, Achievements, & Challenges (1) -
• Recognizes States’ progress in The comprehensive review of 2009
The comprehensive review of 2009
implementing resolution 1540 acknowledged the significant number of
acknowledged the significant number of
while noting that States have measures that States have taken to implement
measures that States have taken to implement
taken fewer measures in some of obligations under resolution 1540 (2004), but
its areas obligations under resolution 1540 (2004), but
identified some areas in which States have
identified some areas in which States have
adopted fewer measures, such as biological
adopted fewer measures, such as biological
• Takes note of international efforts weapons, means of delivery, ,national control
weapons means of delivery national control
weapons,
weapons
towards full implementation of lists, ,access to related materials and financing
lists access to related materials and financing
resolution 1540 (2004), including of prohibited or illicit proliferation activities --
of prohibited or illicit proliferation activities---
-
on preventing the financing of S/2011/579
S/2011/579
proliferation-related activities,
and taking into consideration the
guidance of the framework of the
Financial Action Task Force
(FATF)
• Decides to extend the mandate of
the 1540 Committee for a period
of 10 years until 25 April 2021

13. Resolution 1977 (2011)
- Highlights, Achievements, & Challenges - (2)
• Stresses the need of enhanced
assistance and collaboration among In fulfilling its clearing house function
In fulfilling its clearing house function
States, between the 1540 Committee in aatransparent manner, the
in transparent manner, the
Committee posted on its website
Committee posted on its website
and States, and between the 1540 requests for assistance from 38
requests for assistance from 38
Committee and relevant international, Member States and from two
Member States and from two
subregional organizations, as well as
regional and subregional organizations subregional organizations, as well as
offers of assistance from 46 Member
offers of assistance from 46 Member
in assisting States to implement States and aanumber of international,
States and number of international,
regional, subregional organizations or
resolution 1540 (2004) regional, subregional organizations or
entities.
entities.
With the objective of facilitating
With the objective of facilitating
• Urges States and relevant international, technical assistance for the
technical assistance for the
regional and subregional organizations implementation of resolution 1540
implementation of resolution 1540
(2004) by matching offers and requests
(2004) by matching offers and requests
to inform the Committee as appropriate for assistance, the Committee and its
for assistance, the Committee and its
of areas in which they are able to experts continued and intensified the
experts continued and intensified the
dialogue with the Working Group of
provide assistance; and calls upon
assistance dialogue with the Working Group of
the G-8 Global Partnership Against the
the G-8 Global Partnership Against the
States and such organizations, if they Spread of Weapons and Materials of
Spread of Weapons and Materials of
Mass Destruction (GPWG) on the
have not done so previously, to provide Mass Destruction (GPWG) on the
consolidated list of assistance
consolidated list of assistance
the 1540 Committee with a point of requests… -- S/AC.44/2012/OC.48
requests… -- S/AC.44/2012/OC.48
contact for assistance…

14. Resolution 1977 (2011)
- Highlights, Achievements, & Challenges - (3)
• Requests the Secretary-General to
establish, in consultation with the
1540 Committee, a group of up to The Kingdom of Saudi Arabia
The Kingdom of Saudi Arabia
eight experts (“group of experts”)…
experts expressed willingness to continue to
expressed willingness to continue to
[later expanded to nine per resolution work with the Committee, including
work with the Committee, including
through financial support for specific
through financial support for specific
2055 (2012)]
projects, that will effectively contribute
projects, that will effectively contribute
to the implementation of resolution
to the implementation of resolution
• Endorses the existing administrative 1540 (2004) by States. In this regard, the
1540 (2004) by States. In this regard, the
and logistics support to the 1540 Kingdom of Saudi Arabia pledged
Kingdom of Saudi Arabia pledged
$500,000 for such activities.
$500,000 for such activities.
Committee from the UN Office for
Disarmament Affairs (UNODA)… The Government of the United States
The Government of the United States
provided an additional $1.5 million to
provided an additional $1.5 million to
• Encourages States… to provide the UN Trust Fund for Global and
the UN Trust Fund for Global and
Regional Disarmament bringing its total
Regional Disarmament bringing its total
resources to UNODA to assist States…
States
contribution to $4.5 million to support
contribution to $4.5 million to support
and to make available “in kind” efforts to facilitate universal
contributions or cost-free training and efforts to facilitate universal
implementation of resolution 1540
implementation of resolution 1540
expertise to the 1540 Committee to help (2004) -- S/AC.44/2012/OC.48
(2004) -- S/AC.44/2012/OC.48
the group of experts meet requests for
assistance in a timely & effective manner

15. Resolution 1977 (2011)
- Highlights, Achievements, & Challenges - (4)
• Urges the 1540 Committee to
continue...facilitating technical assistance
for implementation of resolution 1540
(2004), in particular by… matching offers
and requests for assistance, through such
assistance
means as visits to States, at the invitation
of the State concerned, assistance
concerned
templates, action plans or other information
templates
submitted to the 1540 Committee
• Decides that the 1540 Committee will
conduct a comprehensive review on the
status of implementation of resolution 1540
(2004), both after five years and prior to the
renewal of its mandate… the first review
should be held before December 2016
US visit, Dept. of Health & Human Services,
BSL-4 training facility

16. Resolution 1977 (2011)
- Highlights, Achievements, & Challenges - (5)
• Urges the 1540 Committee to continue to
engage actively with States and relevant
The 1540 Committee website
The 1540 Committee website
international, regional and subregional serves as an important medium
organizations to promote the sharing of serves as an important medium
to share various documents
to share various documents
experience, lessons learned and effective related to sharing of experience,
related to sharing of experience,
practices… lessons learned, and effective
lessons learned, and effective
practices on implementing
practices on implementing
resolution 1540 (2004).
resolution 1540 (2004).
• Requests the 1540 Committee, with the
support of the group of experts, to On average, the 1540 website
On average, the 1540 website
o identify effective practices, templates and receives nearly 4,000 visits per
receives nearly 4,000 visits per
guidance, with a view to develop a compilation,
compilation month (generating more than
month (generating more than
as well as to 10,000 page-views traffic) from
10,000 page-views traffic) from
o consider preparing a technical reference guide more than 100 countries.
more than 100 countries.
about resolution 1540 (2004), to be used by
States on a voluntary basis in implementing No committee-approved
No committee-approved
resolution 1540 (2004), and in that regard, “technical reference guide” or
“technical reference guide” or
“compilation” of effective
“compilation” of effective
o encourages the 1540 Committee, at its
practices, templates and
practices, templates and
discretion, to draw also on relevant expertise,
guidance are yet available…
guidance are yet available…
including, civil society and the private sector,
with, as appropriate, their State’s consent

17. Resolution 1977 (2011)
- Highlights, Achievements, & Challenges - (6)
• Requests 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
Thematic refinement of outreach remains
Thematic refinement of outreach remains
challenging.
challenging.
Out of the 45 outreach events attended by the
Out of the 45 outreach events attended by the Implementing
1540 Committee in 2012, only two* specifically
1540 Committee in 2012, only two* specifically UN Security
addressed biological or chemical areas of
addressed biological or chemical areas of
Council
Resolution
Africa Regional
Biosafety and
implementing resolution 1540 but neither were
implementing resolution 1540 but neither were 1540 to Biosecurity Workshop
combat the
exclusively focused on 1540.
exclusively focused on 1540. proliferation
on Implementation of
UN Security Council
of biological Resolution 1540,
weapons, Nairobi, Kenya
*Technical meeting on the implementation of BWC and UNSCR 1540-organized by the Ecuador MoD, Geneva,
VERTIC, UNLIREC and UNODA; and the International meeting on chemical safety and security,
organized by Poland, OPCW, and the G8 GP, respectively Switzerland

18. Conclusions (1)
• There is an upward trend on implementing resolution 1540 (2004) but
challenges still remain
• Still no “universality” on first reports submitted by Member States
• Promoting the sharing of experience, lessons learned and effective practices
is still done on ad-hoc basis, with no compilation or technical reference guide
approved by the 1540 Committee yet available
• There is increased coordination of the Committee with Member States and
international organizations on assistance, challenges on knowledge
assistance
management remain
• Member States offered assistance not only to other Member States but to civil
society as well; there is no clear perspective on how the requests or offers of
well
assistance from NGOs will be addressed by the 1540 Committee
• Many Member States still experience difficulties in linking offers of
assistance with their own needs related to specific operative paragraphs of
resolution 1540 (2004)

19. Conclusions (2)
• Thematic focus in outreach remains challenging, with the majority of events
organized internationally devoted to nuclear security and export controls
--areas shown in the 2009 Comprehensive review as the ones meeting most of
the 1540 requirements while areas of low compliance still under-addressed
• Preparation for the 2016 Comprehensive review not yet started
• The 1540 Matrix template may need to be updated to reflect other
complementary international efforts (i.e. FATF Recommendations, governance
of synthetic genomics and dual use research of concern, codes of conduct etc)

20. “The 1540 Committee has a key role to play in ensuring
that the world is a safe place and in allowing people in
every country to pursue their lives free of fear of
catastrophic attack by non-State actors. Let us sustain
our efforts to counter the threats of proliferation of
nuclear, chemical and biological weapons and their
means of delivery…
…International and regional organizations have come to
play an essential role in assisting national efforts.
The UN Secretary General, Ban
I also welcome the increasingly prominent role that the Ki-Moon
Remarks at dinner hosted by
1540 Committee attaches to partnership with civil the permanent representative
society. of Saudi Arabia on the
occasion of the high-level
event on Security Council
resolution 1540 (2004)
Those voices, be they from non-governmental New York, 10 December 2012
organizations, academia or industry, have much to
contribute. I am encouraged by the initiative of Austria
to convene, next month in Vienna, the first civil society
forum in support of resolution 1540…”

21. Contact information:
Dr. Dana Perkins
1540 Committee Expert
United Nations
300 E 42nd St., Suite IN-03074H
Tel: +1 (917) 367 6023 (office)
E-mail: perkinsd@un.org
1540 Experts Collective E-mail: 1540experts@un.org
1540 Committee Chairman /Secretariat of the 1540
Committee: sc-1540-Committee@un.org
1540 Committee website: http://www.un.org/sc/1540