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Report on the review of the implementation of resolution 1540 (2004) on nuclear proliferation for 2015


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United Nations
Security Council

S/2015/1052

Distr.: General
30 December 2015
Original: English

Letter dated 29 December 2015 from the Chair of the Security Council Committee established pursuant to resolution 1540 (2004) addressed to the President of the Security Council

On behalf of the Security Council Committee established pursuant to resolution 1540 (2004), I have the honour to refer to paragraph 9 of Security Council resolution 1977 (2011) and to transmit herewith the 2015 review of the implementation of resolution 1540 (2004) (see annex).

I would appreciate it if you would bring the present letter and its annex to the attention of the members of the Security Council and have them circulated as a document of the Council.

(Signed) Roman Oyarzun Marchesi
Chair
Security Council Committee established pursuant to resolution 1540 (2004)


Annex

Review of the implementation of resolution 1540 (2004) for 2015

Summary

In 2015, steady progress continued to be made in terms of the number of recorded legally binding measures taken by States. This advance is revealed in the revision of the matrices of all 193 Member States. The continuing special efforts to encourage the submission of national reports by those States that have yet to do so yielded three more such reports. At the time of reporting, 17 States had yet to report. Special efforts to increase reporting by Member States should continue next year. To complement the reports, the Committee and its experts must increasingly rely on searches for official published information to maintain accurate records of the measures taken by States to implement resolution 1540 (2004). Direct interaction with States by the Committee and its experts once again proved its value. Visits to States by invitation and national round tables were important contributions in support of national reporting and the development of voluntary national implementation action plans. This effort also spurred the submission of seven additional voluntary national implementation action plans in 2015. Since States that choose to develop such plans must engage all government departments and agencies involved in the implementation of resolution 1540 (2004), it is very likely that these plans will contribute to more effective implementation. The assistance mechanism for the implementation of the resolution is still not as efficient as it should be. However, the Committee's strategy of taking a regional approach is being vigorously pursued. The first steps in this direction were taken in 2015 with the planning, in cooperation with the African Union, of an event to be held in 2016 in Addis Ababa to bring together African States and potential providers of assistance. Additional measures are needed to help ensure a prompt and effective response to requests for assistance. Efforts to strengthen the effectiveness of national points of contact were given new impetus in 2015 by the holding of the first training course for points of contact hosted by China for States in the Asia-Pacific region. The continued strengthening of cooperation with international organizations and other United Nations bodies has brought about benefits in enhancing the effectiveness of outreach to States, including in efforts to promote the effectiveness of assistance. In 2015, outreach to civil society was enhanced. For example, international outreach to industry continued through events such as the fourth annual meeting with industry representatives hosted by Germany (the "Wiesbaden process") and national events directed at engaging industry. The Committee also engaged directly with academia on ideas to improve its oversight of implementation and more specialized subjects such as biological security. Important steps were taken to begin the comprehensive review of implementation of resolution 1540 (2004), to be submitted to the Security Council before December 2016. These steps included the development of modalities and a workplan for the review; a consultation with former members of the Committee's Group of Experts, designed as a direct contribution to the review; and a retreat for the members of the Committee's working group on implementation and monitoring that focused on a provisional analysis of the data available to the Committee with a view to understanding the developments in implementation since the most recent comprehensive review.

I. Introduction

1. In its resolution 1540 (2004), the Security Council expressed its intention to monitor closely the implementation of the resolution and, at the appropriate level, to take further decisions that might be required. On 20 April 2011, the Council, noting that the full implementation of resolution 1540 (2004) by all States was a long-term task, unanimously adopted resolution 1977 (2011), extending the mandate of the Security Council Committee established pursuant to resolution 1540 (2004) for 10 years. In paragraph 9 of resolution 1977 (2011), the Council decided that the Committee should continue to intensify its efforts to promote the full implementation by all States of resolution 1540 (2004) through its programme of work, which includes the compilation and general examination of information on the status of the implementation by States of resolution 1540 (2004) and on efforts by States at outreach, dialogue, assistance and cooperation, taking into account its annual review on the implementation of resolution 1540 (2004), which is prepared with the assistance of the Group of Experts before the end of December each year.

II. Structure of the report

2. The annual review for 2015 |1| comprises two parts. The first part contains a description of trends in implementation and a factual summary of activities of States in the areas of implementation; assistance; cooperation with international, regional and subregional organizations; and transparency and outreach. The second part contains an assessment and analysis of implementation and future perspectives. The review addresses all aspects of resolution 1540 (2004). Enclosure 1 contains a list of outreach events attended, by invitation, by the Chair of the Committee, its members and experts. Enclosure 2 contains a list of events for which invitations were received but which were not attended.

III. Progress and achievements

A. Trends in implementation

3. During the reporting period, the following trends in the implementation of resolution 1540 (2004) in 2015 emerged:

    (a) The Committee relies mainly on information submitted by States to provide an accurate indication of measures taken by States to implement resolution 1540 (2004). A breakdown of all the total number of reports submitted to the Committee to date indicates that, between 2004 and 2008, 77 per cent of the reports were submitted by 161 Member States and from 2009 to 2015, 23 per cent of the reports were submitted by 76 Member States. Therefore, the Committee increasingly relies on information available from official government information, including that made available to intergovernmental organizations, to update States' matrices. As a result, information from the reports submitted by States may not necessarily reflect the current status of implementation, and therefore States should be encouraged to submit information to the Committee on any changes to legislation or new laws and regulations adopted to implement resolution 1540 (2004);

    (b) The special efforts made to hold events that involved direct interaction with non-reporting States elicited three first reports from such States in 2015, and provided an opportunity to share advice and raise awareness. While the efforts in 2015 may lead to more first reports in 2016, given the particular challenges faced by most non-reporting States, continuing outreach efforts in 2016 will be needed to encourage the submission of additional first reports;

    (c) According to the information contained in national reports submitted to the Committee in 2015, there was an increase in the number of measures taken by Member States to implement the resolution, including through adherence to the legally binding instruments and other guidance documents relevant to resolution 1540 (2004). The information submitted was taken into consideration in the Committee's revision of the matrix for each State. In terms of measurable trends, on the basis of the analysis of the States that submitted reports to the Committee in 2015, there has been a 26 per cent increase in the total average number of recorded measures, from 115 to 145, out of 332 potential measures for each State, as reflected in the 2015 revised matrices as compared with the 2010 matrices for the same States. However, most of the recorded measures were related to the prohibitions required under paragraph 2 of the resolution, and fewer measures related to accounting, security and export control measures, as required under paragraph 3. Although there has been an increase in recorded measures, this confirms that the full implementation of the resolution is a long-term task that will require continuous efforts at the national, regional and international levels;

    (d) The submission and development of voluntary national implementation action plans have been increasing, and that, in turn, could facilitate implementation. The number of national implementation action plans increased from 14 in 2014 to 21 in 2015. The first national implementation action plan was submitted in 2007, but 80 per cent of all such plans have been submitted since 2012. Of the States that submitted plans in 2015, many adopted an approach in which various focus areas for enhancing the implementation of resolution 1540 (2004) were outlined in a table format, identifying those responsible, the anticipated outcomes and the applicable time frame and requirements for cooperation. This approach provided the Committee with an overview of future steps that States intend to take to enhance implementation. The areas identified by the national implementation action plans submitted in 2015 included the amendment of existing, or the adoption of new, legislation and/or regulations to enhance prohibitions and controls, the enhancement of capacity-building and the improvement of cooperation, including with industry, the public and the Committee;

    (e) During the reporting period, as in 2014, there were five requests for assistance. Most of the new requests came from States in Africa; two of them were included in the reports of States that had not previously reported. The Committee visited one of those States at its invitation. The Committee also received more responses from registered providers to these and previous requests than in 2014;

    (f) Important progress has been made in taking a regional approach to enhancing the operation of the Committee's assistance system, particularly through collaboration with the African Union;

    (g) Collaboration with international and regional organizations has continued to intensify. This aided the efforts to improve the assistance mechanism and should provide dividends in terms of consultation for the 2016 comprehensive review;

    (h) In 2015, there were 57 outreach events in which members of the Committee and/or its experts participated, compared to 89 such events in 2014. Not all invitations were accepted, due to the workload involved in the review of the matrices and the restrictions on travel imposed as a result of the upgrading of the United Nations information and data management system. This has caused some invitations to be declined and events to be postponed until 2016;

    (i) Outreach to civil society, including industry, was enhanced by outreach events and improvements to the Committee's website and electronic communications. This will, among other things, raise wider awareness of the resolution and its obligations, encourage a partnership between industry and Governments and spur more studies in academia on non-proliferation issues;

    (j) Work on the 2016 comprehensive review began in 2015, with the modalities and workplan being agreed upon and opportunities being taken for consultations with Member States and international organizations.

B. Monitoring and national implementation

4. In 2015, the Committee continued to facilitate and monitor the implementation by States of resolution 1540 (2004). In accordance with the fourteenth programme of work of the Committee (S/2015/75), the working group on monitoring and national implementation considered 125 matrices presented to it by the Group of Experts. In 2014, 68 matrices were considered. All 193 matrices, which were revised by 30 June 2015, were sent to States for their review, and subsequent to the further revision of some matrices on the basis of comments received from 25 States, the Committee approved 183 matrices on 23 December 2015. These approved matrices were published on the Committee's website. The information contained in these revised and updated matrices will provide a basis upon which to analyse the status of implementation of the resolution, in the context of the comprehensive review to be completed before December 2016.

5. In its resolution 1977 (2011), the Security Council called upon all States that had not yet done so to submit a first report to the Committee without delay. During the reporting period, Cabo Verde, Sao Tome and Principe and Zambia submitted their initial reports, bringing the total number of national implementation reports provided by States to 176. The report by Zambia was submitted following a visit of the Committee to that State, at the invitation of its Government, which took place from 14 to 17 April 2015. Cabo Verde and Sao Tome and Principe submitted their reports following assistance visits by a former Committee expert, financed by the United Kingdom of Great Britain and Northern Ireland, and the countries' participation in workshops for non-reporting States held in 2014 and hosted by the United Nations Regional Centre for Peace and Disarmament in Africa. With a view to achieving universal reporting, the Committee continued its efforts to encourage the submission of such reports, including through direct interaction at bilateral meetings between the Chair of the Committee and the missions of non-reporting States in New York. Furthermore, on 17 June 2015, the Chair of the Committee sent letters to all non-reporting States outlining the importance of submitting reports on steps taken to implement resolution 1540 (2004), and offered the assistance of the Group of Experts in facilitating the submission of such reports. In addition, the Group of Experts held bilateral discussions with some non-reporting States on the margins of relevant events related to resolution 1540 (2004). All non-reporting States have been engaged at least once by the Committee and its experts.

6. The Security Council, in its resolution 1977 (2011), encouraged States to provide, on a voluntary basis, additional information on their implementation of resolution 1540 (2004), including their effective national practices in implementing the resolution. During the reporting period, 33 States from all regions of the world provided additional information, described effective practices or provided comments and updates on their revised matrices, including on measures related to prohibiting non-State actors from using nuclear, chemical and biological weapons and their means of delivery, and strengthened controls to prevent the illicit trafficking of such weapons and related materials.

7. The 36 States that either submitted initial reports or additional information, described effective practices or provided comments and updates on their revised matrices to the Committee in 2015 provided evidence that they had or recently taken measures to implement the resolution, or updated past information. The Dominican Republic, France, Ghana, Kyrgyzstan, Morocco, Sri Lanka, Turkey and Venezuela (Bolivarian Republic of) provided additional information to the Committee on measures that they had taken to implement the resolution. The United Kingdom submitted to the Committee examples of effective practices prepared by the Verification Research, Training and Information Centre and King's College London. Furthermore, Argentina, Brazil, Bulgaria, Canada, Cuba, Cyprus, the Czech Republic, Ghana, Hungary, India, Ireland, Jamaica, Japan, Latvia, Nepal, Paraguay, Portugal, Qatar, Senegal, Singapore, Sweden, Tunisia, Ukraine and Uruguay provided comments on their revised matrices. While most of the information submitted was in a narrative or matrix format, some reflected a combination of both. The reports addressed a broad range of implementation measures, and some States highlighted specific aspects of their implementation efforts. In this regard, Kyrgyzstan provided information on amended export control regulations, including the adoption of a national control list through government decision No. 197 of 2 April 2014. Morocco provided information on the adoption in August 2014 of Act No. 142-12 on nuclear and radiological safety and security and on the establishment of the Moroccan agency for nuclear and radiological safety and security. Sri Lanka provided an update to its 2005 report, and highlighted various developments, including the adoption of the Sri Lanka Atomic Energy Act, No. 40 of 2014. Although all of the reports included measures taken prior to 2015, some States reported legal measures taken in 2015. Those included the adoption by Jamaica of its Nuclear Safety and Radiation Protection Act of 2015 and the adoption by Ghana of its Nuclear Regulatory Authority Act No. 895 of 2015.

8. In its resolution 1977 (2011), the Security Council encouraged States to prepare, on a voluntary basis, national implementation action plans to map out their priorities and plans for further implementation of resolution 1540 (2004). In 2015, Armenia, Bosnia and Herzegovina, the Dominican Republic, Grenada, Senegal, Spain and Togo submitted national implementation action plans, bringing the total number of such plans received by the Committee to 21. During 2015, the Committee's Group of Experts was involved in efforts to develop these voluntary plans through interaction with Ghana, Jordan, Malawi, the Republic of Moldova, Senegal, Tajikistan, Togo, Turkmenistan and Uzbekistan. These States are currently in the process of developing or finalizing such plans.

9. The Security Council, in its resolution 1977 (2011), also recognized the importance of the active engagement and dialogue of the Committee with States on their implementation of resolution 1540 (2004), including through visits to States at their invitation. In 2015, Antigua and Barbuda, Ghana, Jordan, Malawi, Senegal, Togo and Zambia invited and received delegations from the Committee and its experts. Invitations were also received from the Central African Republic and Mauritania in 2015. Visits to these States are likely to take place in 2016. The visits provided an opportunity for the States to provide updated information on the implementation of the resolution, to identify achievements, gaps and assistance needs, and, where appropriate, to map out future actions to implement the resolution. During the visits, relevant national officials, including representatives at the ministerial level, met with members of the Committee and its Experts. The increase in the number of invitations to visit States reflects the importance of direct interactions in producing concrete results. Following visits by the Committee, Senegal and Togo submitted their voluntary national implementation action plans and Zambia submitted its initial report. These submissions included specific assistance requests.

10. States are encouraged to inform the Committee of their points of contact on the implementation of resolution 1540 (2004), both in their capitals and in their Permanent Missions in New York. Points of contact help States to promote better internal coordination of implementation, help in the collaboration between States and facilitate contact with the Committee. To date, 89 States have nominated a national point of contact. Some of those States that offered assistance also nominated a point of contact for assistance. In addition to points of contact whose nominations were made directly to the Committee, there is a roster maintained by the Organization for Security and Cooperation in Europe (OSCE) of points of contact among its participating States.

11. In terms of the Committee's fourteenth programme of work, the Committee encouraged an expansion of the network of points of contact and the development of training courses conducted at the regional level for points of contact. In this regard, a training course, developed by the Committee's Group of Experts for national points of contact in the Asia-Pacific region, took place in Qingdao, China, from 7 to 11 September 2015. The course was intended to enhance understanding of resolution 1540 (2004) and its background, implementation requirements and implementation challenges for States. These goals were achieved, as evidenced by the feedback received from participating points of contact. The training will facilitate intra- and inter-State coordination, in particular on a regional basis. It also contributes to enhancing their collaboration with the key international organizations that provided instructors to assist with the course. Participants from Afghanistan, Bangladesh, Cambodia, China, India, Japan, the Lao People's Democratic Republic, Maldives, Mongolia, Myanmar, Nepal, Pakistan, the Republic of Korea, Sri Lanka and Thailand attended and received certificates upon completion of the week-long course, which also included practical exercises on the implementation of the resolution and a site visit to a major container port in Qingdao. The course contributed to strengthening the point of contact network to make it a "living network" of contacts. The Government of China, which hosted the training course on behalf of the Committee, attached great importance to the training course. The Chair of the Committee met in Beijing with the Vice -Minister of Foreign Affairs of China to discuss future cooperation between the Committee and China and China's willingness to further contribute to the work of the Committee. The Government of Chile offered to host a similar training course for national points of contact in its region in 2016.

C. Assistance

12. In 2015, States submitted five new requests for assistance to the Committee. In fulfilling its clearing house function in a transparent manner, the Committee continued to post requests and offers of assistance on its website. In its role of facilitating technical assistance by matching offers with requests for assistance, the Committee and its experts continued to undertake dialogue with potential assistance providers. The Group of Experts also continued to keep an up-to-date consolidated list of assistance requests so that it could be made available, as required, in response to requests for information and at the appropriate outreach events.

13. The Committee received assistance requests from Cabo Verde, Ghana, Guyana and Zambia, which were included in their reports, and invitations for visits. Armenia submitted a second assistance request. The Committee received letters from States and international organizations indicating their readiness to consider the assistance requests, informing the Committee about current activities or possible areas in which assistance could be offered and indicating their willingness to explore possibilities for donor funding in order to respond positively to the requests. Such responses were made to:

    (a) Armenia, from Belarus and the Russian Federation, as well as from the United Nations Office on Drugs and Crime (UNODC), the International Atomic Energy Agency (IAEA), the World Customs Organization and the World Organization for Animal Health;

    (b) Cabo Verde, from India and from IAEA, the Organization for the Prohibition of Chemical Weapons and the World Customs Organization;

    (c) Guyana, from UNODC, IAEA, the International Criminal Police Organization (INTERPOL), the World Customs Organization and the World Organization for Animal Health;

    (d) Kyrgyzstan, with respect to a previous assistance request, from IAEA, the World Customs Organization and the World Bank;

    (e) Montenegro, with respect to a previous assistance request, from IAEA and the World Customs Organization;

    (f) Togo, with respect to a previous assistance request, from UNODC, the World Customs Organization and the World Organization for Animal Health.

14. In response to the assistance request by Ghana, the Group of Experts visited that State to assist its Government in the drafting of a voluntary national implementation action plan.

15. These responses were relayed by the Committee to the States concerned for their action in taking up their offers directly with the providers.

16. During 2015, the Committee considered a non-paper prepared by the Group of Experts on regional approaches to assistance. The paper served as guidance for the preparations for the first regional Committee assistance meeting, scheduled for March 2016, to be organized by the African Union Commission.

17. On 24 and 25 September 2015 in Vienna, the African Union Commission convened a preparatory meeting for its conference on assistance for implementation of resolution 1540 (2004), to be held in early 2016 in Addis Ababa. The objectives of the meeting included discussing potential offers and direct responses to assistance requests to be announced during the 2016 conference. The participants were informed about initiatives in Africa related to the resolution and provided a platform for the assistance providers to report on their initiatives in Africa related to the resolution. There was also an exchange of views on the conduct of, and agenda for, the 2016 African Union conference on assistance related to the resolution.

18. The United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean continued to support States in the Caribbean in the implementation of resolution 1540 (2004) in the region through a legislative assistance package. In that regard, national round tables were organized in Belize and the Dominican Republic, with the participation of the Group of Experts, during which legislative studies were presented. The Regional Centre also provided technical assistance in drafting the voluntary national implementation action plan of the Dominican Republic.

19. The Committee was also informed by the Governments of Chile, Costa Rica, Guatemala, Mexico, Panama and Uruguay that they were interested in technical assistance from the Inter-American Committee against Terrorism of the Organization of American States and the Group of Experts in the development of their respective voluntary national implementation action plans.

20. A meeting of the working group of the Global Partnership against the Spread of Weapons and Materials of Mass Destruction was held in Berlin from 30 September to 1 October. During the opening plenary, the Group of Experts informed participants of the current situation regarding assistance requests and, in particular, the African Union's planned conference on assistance for African States. During an assistance matchmaking session, representatives of participating States and international organizations exchanged views with the Group of Experts on their respective assistance projects and on current assistance matchmaking mechanisms.

D. Cooperation with international, regional and subregional organizations

21. The working group on cooperation with international, regional and subregional organizations pursuant to resolutions 1267 (1999) and 1989 (2011) and the Security Council Committee established pursuant to resolution 1373 (2001) concerning counter-terrorism (Counter-Terrorism Committee), guided by the fourteenth programme of work of the Committee established pursuant to resolution 1540 (2004), which covers the period from 1 February 2015 to 30 January 2016, continued to enhance their cooperation with international, regional and subregional organizations and other relevant United Nations bodies.

22. Drawing on its non-paper of 3 July 2014 setting out a future strategy, the working group made recommendations to the Committee on possible future activities. On the basis of these recommendations, the activities outlined below were conducted.

23. The Committee intensified its collaboration with IAEA in the area of nuclear security. The Chair held consultations with the Director General of IAEA, Yukiya Amano, in Vienna on 20 May. In November, the Group of Experts held a coordination meeting with the Department of Nuclear Security of IAEA to discuss ways of further improving future cooperation efforts, in particular in relation to enhancing complementarity and reducing duplication, specifically with regard to the development and implementation process for Integrated Nuclear Security Support Plans and voluntary national implementation action plans. The Committee continued its participation in events organized by or in cooperation with IAEA, including outreach and information exchange meetings and regional workshops on Integrated Nuclear Security Support Plans, such as those for regulatory bodies in Africa and South-East Asia and for Arabic-speaking States. The Committee and its Group of Experts participated in the international maritime transport nuclear security exercise organized by Morocco and Spain in Madrid and in the territorial waters of both countries in October and attended by the Director General of IAEA. In the exercise, the need to appropriately protect nuclear and other radioactive materials to prevent their falling into the hands of those who would use them with malice was stressed. The exercise also showed ways to reinforce national capacities and international cooperation for better implementation of resolution 1540 (2004). |2|

24. The Organization for the Prohibition of Chemical Weapons continued its collaboration with the Committee, including through consultations with the Group of Experts on the provision of assistance to Member States and through its participation in regional meetings on implementation of resolution 1540 (2004) and in the training course held in China for the national points of contact in the Asia-Pacific region.

25. The Committee also continued its cooperation with the Biological Weapons Convention Implementation Support Unit. The Group of Experts participated in: (a) the annual Biological and Toxin Weapons Convention meeting of Governmental Experts in August and of the States Parties in December; (b) a regional workshop on the Convention for States in East Africa aimed at promoting the universalization of the Convention; and (c) a Middle East regional workshop on implementation of the resolution hosted by Jordan.

26. Other international organizations with which the Committee and its experts collaborated included INTERPOL, the World Customs Organization, the World Health Organization (WHO) and the World Organization for Animal Health. This collaboration was strengthened through increased proactive interaction by the Group of Experts, offers made by these organizations in response to assistance requests, the provision of instructors for the point of contact training courses, as the WHO did for the training course held in China for points of contact in the Asia-Pacific region, and their representatives participating in regional events. The World Organization for Animal Health and WHO held a joint event on the global biological threat, in which the Group of Experts participated.

27. In 2015, the Committee and its experts continued their participation in the meetings of the Global Partnership against the Spread of Weapons and Materials of Mass Destruction working group. The meetings were a continuation of the discussions and interactions between the Group of Experts and the Global Partnership working group, particularly in relation to the subject of assistance.

28. The Committee and its experts continued their cooperation with the Financial Action Task Force and its regional bodies through participation in outreach events and information-sharing. Upon invitation to do so, the Committee sent an expert to the meeting of the task force of senior officials on issues related to weapons of mass destruction proliferation financing of the Eastern and Southern Africa Anti-Money-Laundering Group. The Asia/Pacific Group on Money -Laundering sent a representative to assist in the training course held in China for points of contact in the Asia-Pacific region.

29. Regional and subregional organizations continued to play an important role in enhancing the implementation of resolution 1540 (2004). The principal activities are outlined below.

30. Cooperation with the African Union was further intensified in 2015. A major development was the planning of and preparation for the 2016 African Union conference on assistance related to resolution 1540 (2004) (see para. 17 above). The African Union was also the co-organizer of the Intergovernmental Authority on Development workshop on enhancing the implementation of resolution 1540 (2004) and other non-proliferation instruments.

31. OSCE enhanced its cooperation with the Committee through its Conflict Prevention Centre, which serves as the OSCE focal point for the implementation of resolution 1540 (2004). In 2015, the Centre organized a number of national round tables and country-specific dialogues with Croatia, Montenegro, the Republic of Moldova, Serbia, Tajikistan and Turkmenistan with the aim of helping Member States to develop and/or implement voluntary national implementation action plans and to facilitate effective and sustained implementation of resolution 1540 (2004). In the same vein, a second annual meeting of the OSCE national points of contact was held in cooperation with the Office for Disarmament Affairs. The submission of voluntary national implementation action plans by Armenia and Bosnia and Herzegovina in 2015 was supported by the collaborative work among OSCE, the Committee and its experts, and the Office. As part of the efforts of the Chair of the Committee to enhance cooperation, the Chair spoke at a dialogue meeting of the OSCE Forum for Security Cooperation on the theme "The status of implementation of Security Council resolution 1540 (2004): challenges and perspectives". In his remarks, the Chair emphasized the long-term vision and strategy for effective implementation of resolution 1540 (2004) and the Committee's plans for the upcoming comprehensive review of the implementation of the resolution. The Forum adopted a decision on 22 July 2015 supporting the leading role and global efforts undertaken by the Committee and decided to strengthen its support in facilitating implementation of resolution 1540 (2004).

32. A seminar on voluntary national implementation action plans for resolution 1540 (2004) was organized by the Regional Arms Control Verification and Implementation Assistance Centre in cooperation with the Office for Disarmament Affairs and the Government of Croatia. The seminar provided an opportunity to exchange views on the key elements of voluntary national implementation action plans and to share their experiences and lessons learned in the development, adoption and implementation of such plans.

33. The Group of Experts participated in the seventh Regional Forum of the Association of Southeast Asian Nations intersessional meeting on non-proliferation and disarmament, held on 15 and 16 June in Kuala Lumpur. The meeting provided an opportunity to highlight resolution 1540 (2004) as a universal and legally binding instrument for preventing the proliferation of weapons of mass destruction to non-State actors among States participating in the Regional Forum and the importance of regional coordination to improve its implementation in the region.

34. In cooperation with the Caribbean Community (CARICOM) coordinator on the implementation of resolution 1540 (2004), a visit to Antigua and Barbuda took place, at the invitation of the Government of that country, from 12 to 14 August, including a national round table on the implementation of the resolution. During the visit, the Group of Experts also provided assistance in terms of strategic trade legislation and other related legislation.

35. The plan to appoint a project officer for the implementation of resolution 1540 (2004) at the Organization of American States (OAS) will help to promote the implementation of the resolution in the Americas.

1. Cooperation with United Nations entities

36. The Group of Experts, as an entity of the Counter-Terrorism Implementation Task Force, continued its participation in activities to implement the United Nations Global Counter-Terrorism Strategy, in particular its various thematic working groups and annual retreat, including participation in the Task Force experts' meeting on coordinated border management and the Task Force's workshop on ensuring effective inter-agency interoperability and coordinated communication in case of chemical and/or biological attacks. In addition, the Group of Experts participated in thematic briefings of mutual interest organized by the Task Force and the Security Council Committee established pursuant to resolution 1373 (2001) concerning counter-terrorism (Counter-Terrorism Committee) throughout the year.

37. The Committee continued to cooperate with the Counter-Terrorism Committee and the Security Council Committee established pursuant to resolutions 1267 (1999) and 1989 (2011) concerning Al-Qaida and associated individuals and entities and their experts, within their respective mandates, including through joint or coordinated outreach activities. The experts of the three Committees continued to share relevant information, including information on meetings, as appropriate, in order to discuss common issues and coordinate actions and exchanges of information. In 2015, the Group of Experts joined country visits to Italy and Uzbekistan led by the Counter-Terrorism Committee, enabling the Committee established pursuant to resolution 1540 (2004) and its experts to engage with the appropriate officials in those countries on the full range of obligations incurred pursuant to resolution 1540 (2004). Another step in the collaboration between the Committee and the Counter-Terrorism Committee was the appointment of a shared focal point for the Caribbean region, which is hosted by CARICOM and funded by the Governments of Australia and Canada.

38. A further example of cooperation between the Committee and the Counter-Terrorism Committee, through their respective expert groups, is the participation of the expert of the Committee established pursuant to 1540 (2004) in a regional workshop for judges, prosecutors and police officers in North-East Asia on effectively countering terrorism, organized by the Counter-Terrorism Committee Executive Directorate with the support of the Department of Political Affairs and the Office for Disarmament Affairs. This event enabled the expert to engage with delegates from five North-East Asian States, including the Democratic People's Republic of Korea.

39. The Committee continued its close cooperation with UNODC on areas in which their mandates overlap. Examples included the Committee Chair's consultation with the Executive Director of UNODC in Vienna, the participation of a UNODC expert in the training course for points of contact for the implementation of resolution 1540 (2004) in the Asia-Pacific region, held in China, and the participation by the Group of Experts in workshops organized by UNODC. These included the workshop on the promotion of the entry into force of the 2005 Amendment to the Convention on the Physical Protection of Nuclear Material, in which the Group of Experts participated by videoconference, and the UNODC expert group meeting on the development of a training module on the international legal framework against chemical, biological, radiological and nuclear terrorism. It is expected that the training module will include a section on the implementation of resolution 1540 (2004).

40. Cooperation with the United Nations Regional Centre for Peace and Disarmament in Africa, the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean and the United Nations Regional Centre for Peace and Disarmament in Asia and the Pacific continued. The Regional Centre for Peace and Disarmament in Africa assisted in the organization of national round tables to help with the development of voluntary national implementation action plans in Senegal and Togo and the conduct of visits to Malawi and Zambia, at the request of their Governments. The aim of the visits was to assist Malawi with the drafting of a voluntary national implementation action plan and Zambia with the drafting of its first report on the implementation of resolution 1540 (2004). With the Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean, supported by the Office for Disarmament Affairs, the Group of Experts participated in a regional workshop on the implementation of resolution 1540 (2004) held in Peru and national round tables on the implementation of resolution 1540 (2004) held in Belize and the Dominican Republic.

41. In cooperation with the Group of Experts, the United Nations Institute for Disarmament Research has been developing a proposal on a matrix support tool to facilitate the analysis of the matrix on the implementation of resolution 1540 (2004), as well as on how to utilize the data from the matrices.

2. Cooperation with other entities and arrangements

42. During the reporting period, the Committee continued its interaction and cooperation with other relevant entities and arrangements. The Chair of the Committee engaged in consultations with the Chair of the Nuclear Suppliers Group in Vienna. The Chair of the Group also participated in the training course for national points of contact for the implementation of resolution 1540 (2004), held in China. The Chair of the Missile Technology Control Regime briefed the Committee in New York on their work relevant to resolution 1540 (2004). An expert participated in an event entitled "Radiant City", which included a workshop and tabletop exercise on nuclear detection and nuclear forensics, organized in Karlsruhe, Germany, by the Global Initiative to Combat Nuclear Terrorism.

3. Civil society and the private sector

43. In its resolution 1540 (2004), the implementation of which is the responsibility of States, the Security Council called upon all States to develop appropriate ways to work with and inform industry and the public about their obligations emanating from national laws implementing the resolution. During the reporting period, the Committee and its experts continued to reach out to industry and the public, with the consent of the States, to generate wider awareness of the resolution and to facilitate its effective implementation.

44. As part of the effort to reach out to industry, the Committee and its experts participated in a number of relevant events in 2015, including the following:

    (a) At the invitation of Germany, Committee members and the Group of Experts participated in the fourth Wiesbaden industry conference organized in cooperation with the Office for Disarmament Affairs. The theme of the conference was "Private sector engagement in strategic trade controls: recommendations for effective approaches to implementing Security Council resolution 1540 (2004)", and the event was intended to be a contribution to the 2016 comprehensive review. It included participants from various industry sectors, government agencies, intergovernmental organizations and academia. The conference focused on taking stock of the results of previous conferences and discussing future approaches to improving industry dialogue in the framework of resolution 1540 (2004). In that regard, key themes included efforts to further enhance cooperation between industry and regulators; discussions on new trends and challenges in export controls; and the creation of compliance networks that would promote information sharing among industry representatives and a public-private partnership between regulators and industry. In his message to the conference, the Chair used the opportunity to emphasize that industry operates at the forefront of national efforts for the implementation of resolution 1540 (2004) and is thus a key partner in preventing the proliferation of weapons of mass destruction. India and the Republic of Korea announced their intention to host a conference for industry in the Asia-Pacific region in 2016. These offers, if accepted, could help fulfil the objective of regionalizing the Wiesbaden process in the next stage of its development;

    (b) The Group of Experts participated in a workshop on non-proliferation and export compliance in composites, held in Chongqing, China, in January. Representatives from 60 Chinese companies participated in the workshop. The event was organized jointly by the China Arms Control and Disarmament Association and King's College London.

45. In addition, with respect to transparency in transfers of technology, the Committee's website includes an effective-practices paper submitted in 2015 by the United Kingdom, entitled "The Higher Education Guide and Toolkit on Export Controls and the ATAS Student Vetting Scheme", which was prepared by King's College London and the Association of University Legal Practitioners, with support from the Export Control Organization and the Foreign and Commonwealth Office of the United Kingdom. The purpose of the document is to provide a guide for university practitioners on the export control legislation applicable in the United Kingdom on the transfer of technology.

46. The Committee and its experts were involved in many other outreach events with civil society. In 2015, the following civil society events related to resolution 1540 (2004) were co -organized in cooperation with or conducted with the support of the Office for Disarmament Affairs:

    (a) A meeting of former members of the Group of Experts was held in Cape Town, South Africa, and organized by the Committee, the Office for Disarmament Affairs and the Institute for Security Studies;

    (b) A round-table discussion on the theme "Preventing proliferation of weapons of mass destruction to non-State actors: the implementation of United Nations Security Council resolution 1540 (2004) in Africa" was organized by the Institute for Security Studies, in Pretoria, South Africa;

    (c) The Committee and its experts also undertook outreach to academia. In this regard, the following lectures and discussions were held by the Group of Experts at the invitation of the respective institutions:

      (i) A lecture on general aspects of resolution 1540 (2004), at the Nelson Mandela Metropolitan University in Port Elizabeth, South Africa;

      (ii) A lecture on the interrelationship between the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction, life sciences and resolution 1540 (2004), hosted by the Cape Town Component of the International Centre for Genetic Engineering and Biotechnology and held at the Institute of Infectious Disease and Molecular Medicine of the University of Cape Town. |3|

47. There are many other examples of the involvement of civil society in the process of implementing resolution 1540 (2004), including the following activities:

    (a) A number of activities were sponsored by the Institute for Security Studies to strengthen implementation of resolution 1540 (2004), including the initiation of a project by the Institute to place resolution 15 40 (2004) on the African agenda and increase African engagement; and, in cooperation with the Office for Disarmament Affairs and the Group of Experts, the hosting of the first meeting to bring together former Committee experts to review progress made in the implementation of the resolution since 2004 and to discuss how to advance its implementation. In September, the Institute published a monograph based on this meeting, entitled "Towards the 2016 comprehensive review";

    (b) In March, the Stimson Center organized a briefing for Caribbean States on the theme "Caribbean States: the importance of strategic trade controls". In addition, in October, the Stimson Center and the Washington Foreign Law Society, in cooperation with the Institute for Security Studies, held a meeting focused on implementation of resolution 1540 (2004), on the theme "Non-proliferation in a non-compliant world: rethinking United Nations Security Council resolution 1540 (2004)". Speakers at the meeting included both current and former members of the Group of Experts;

    (c) The Nuclear Threat Initiative continues to maintain and update a resource collection on resolution 1540 (2004), which examines the implementation of the resolution and details implementation efforts made to date in all regions and countries of the world. The collection contains material produced independently for the Initiative by the James Martin Centre for Non-proliferation Studies at the Middlebury Institute of International Studies at Monterey;

    (d) The Center for International Trade and Security of the University of Georgia continued to publish 1540 Compass. The winter 2015 edition contained articles on subjects such as CARICOM and resolution 1540 (2004); INTERPOL chemical, biological, radiological, nuclear and explosives capacity and resolution 1540 (2004); resolution 1540 (2004) and India; robotics and resolution 1540 (2004); and the New Delhi Civil Society Forum meeting on identifying effective practices for implementing the resolution, held in New Delhi in 2015;

    (e) The Department of Law of the European University Institute hosted a seminar on the theme "Combating proliferation of weapons of mass destruction: law, politics and institutional design of United Nations Security Council resolution 1540 (2004)";

    (f) The CARICOM programme on implementation of resolution 1540 (2004), in partnership with the Stimson Center, Harvard University's Kennedy School and the Georgetown University International Trade and Investment Law Practicum, is developing a strategic trade controls framework and related legislative and regulatory instruments to prevent chemical, biological, radiological and nuclear proliferation in the region;

    (g) The Georgetown University International Trade and Investment Law Practicum published a paper entitled "CARICOM Model Act Project: aiming to implement United Nations Security Council resolution 1540 (2004) with regard to the prevention of the proliferation of weapons of mass destruction";

    (h) The James Martin Centre for Non-proliferation Studies organized a chemical and biological weapons proliferation course for government officials of the United States of America, held in Washington, D.C., at which a Committee expert spoke by videoconference on 11 September.

48. The Committee noted with appreciation the efforts of the organizations and individuals cited above to raise awareness of resolution 1540 (2004), analyse and assess its impact, and identify means to improve its implementation.

49. The participation in outreach events by Committee members, the Group of Experts, Governments, professional associations, universities, colleges and institutes, and non-governmental organizations, as well as the engagement of students, reflect continued and wide-ranging interest in effective implementation of resolution 1540 (2004).

E. Transparency and outreach

50. Transparency makes an important contribution to enhancing confidence, fostering greater cooperation and raising the awareness of States, relevant international, regional and subregional organizations, civil society and the private sector regarding issues relevant to resolution 1540 (2004). Transparency alerts States, organizations, institutions and others to opportunities to provide assistance in, or otherwise contribute to, in their areas of expertise and competencies, the effective implementation of the resolution. In addition, it can contribute to States' implementation of their obligations under resolution 1540 (2004), for example by sharing effective practices, as submitted by other States and by organizations, and States' voluntary national implementation action plans. States can draw on these resources in developing their own implementation plans, selecting elements or adapting them as appropriate for their individual circumstances.

51. Direct outreach to States, relevant international, regional and sub regional organizations and, where appropriate, civil society and the private sector is important, but the Committee's website is a vital tool to raise public awareness regarding issues relevant to resolution 1540 (2004), its obligations and its continuing importance and relevance. There is no other mechanism available that can provide to all interested parties such a substantial source of information on the work and activities of the Committee, the steps already taken by Member States, effective practices and Member States' plans to implement the resolution.

52. During the reporting period, web-based transparency was strengthened through regular updates to the website with support from the Office for Disarmament Affairs, including on points of contact; assistance requests and offers; listings of outreach events and information notes on the outcomes of those events; national reports and voluntary national implementation action plans; and the relevant statements and presentations of Committee members and experts. Increased transparency on the status of implementation also results from the posting of all reports submitted by States, with their consent, including reports in the form of a matrix. During the reporting period, the website had 61,125 visits, which represented an increase of 1.3 per cent in comparison with the previous year. Over the past two years, the overall increase in visits to the website has been 23.4 per cent.

53. Outreach is one of the principal tools to assist the Committee in utilizing its limited resources efficiently to reach wider and targeted audiences. In 2015, there were 57 outreach events in which the Chair and Committee members and experts participated. The Chair participated in 2 such activities, Committee members in 7, and the Group of Experts in 57. A list of events in which Committee members and experts participated is included in Enclosure 1. Enclosure 2 contains a list of events to which Committee members and/or the Group of Experts were invited formally but did not participate.

54. Of note, and new on the website, is the video message conveyed by United Nations Messenger of Peace Michael Douglas on resolution 1540 (2004). The message highlights the threat of terrorism that confronts us around the world today, the fearsome consequences of the combination of proliferation and terrorist use of weapons of mass destruction, and the need for everyone to act together to prevent catastrophe.

55. In addition, the Committee agreed on a new mechanism to communicate to Governments and the public, messages from the Chair, to be issued on a quarterly basis. The Chair issued three such messages in 2015. The messages looked forward, communicating the goals, objectives and plans of the Chair and the Committee, as well as describing important events and activities that had recently taken place. Feedback on the messages has been positive, and they have enhanced interest among Member States in strengthening their participation in events related to the resolution.

56. The working group of the Committee on transparency and media outreach also enhanced outreach by inviting other organizations to speak to the Committee to exchange views on their respective roles with a view to enhancing the implementation of resolution 1540 (2004). As a result, the following presentations were made:

    (a) The Head of the Office of the Permanent Observer for the Inter-Parliamentary Union (IPU) to the United Nations spoke to the working group, advising it of the relevant work of IPU and its intention to convene a meeting of African parliamentarians that would focus on resolution 1540 (2004) and their roles. The Head also advised the group that the IPU had concluded a contract with the Office of Disarmament Affairs in order to promote the resolution among parliamentarians;

    (b) The Committee received a briefing from two academic researchers from the School of Public and International Affairs of North Carolina State University and the University at Albany, State University of New York. They spoke on their research into the effectiveness of resolution 1540 (2004) and their views on how States are implementing its obligations;

    (c) To enhance understanding of effective ways to reach out to academia, a representative of the International Nuclear Security Education Network briefed the working group, at its invitation, on the more than 100 universities in all regions of the world that are members of the Network. The Network operates under the auspices of the IAEA nuclear security programme. Discussion focused on ascertaining the extent to which the Network can support needs of Member States in terms of implementing resolution 1540 (2004) through, for example, the inclusion of information relevant to the resolution in the course syllabi being developed by the Network;

    (d) An informal meeting of the Committee was held on biological security and included presentations on the status of the Biological Weapons Convention; the biological risk environment; and topics especially relevant to academia and industry, including emerging technologies. Speakers came from the Convention's Implementation Support Unit, the World Health Organization, the World Organization for Animal Health, INTERPOL, the International Federation of Biosafety Associations and the University of Cape Town.

57. Efforts to improve outreach were pursued on a continuing basis. A project was initiated in 2015 to redesign the Committee's website to enhance its usability and appeal. In addition, the issue of improving outreach will be examined as part of the comprehensive review to be completed by December 2016.

58. In 2015, 8 press releases were published by the United Nations on events related to resolution 1540 (2004), compared with 17 in 2014 and 5 in 2013. In this context, it is worth noting that there were 30 fewer events in 2015 than in 2014.

F. Administration and resources

59. The Committee held four formal meetings and three informal meetings. Its working groups conducted 13 meetings.

60. The Chair briefed the Security Council, together with the Chairs of the Counter-Terrorism Committee and the Committee established pursuant to resolutions 1267 (1999) and 1989 (2011), on 16 June and on his own on 22 December 2015.

61. In 2015, the activities of the Committee were supported by voluntary contributions to the United Nations Trust Fund for Global and Regional Disarmament Activities provided by Kazakhstan, the Republic of Korea, the United States and the European Union.

62. The Committee noted that in 2015, using extrabudgetary funds, the Office for Disarmament Affairs organized, co-organized or supported some 22 conferences, workshops, seminars, country-specific dialogues and other events on the implementation of resolution 1540 (2004) (see enclosure 1). The Committee welcomes these activities in support of its activities and experts.

IV. Comprehensive review

63. In accordance with operative paragraph 3 of resolution 1977 (2011), the Security Council decided that the Committee would 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, including, if necessary, recommendations on adjustments to the mandate, and would submit to the Council a report on the conclusions of those reviews, and that, accordingly, the first review should be held before December 2016.

64. On 28 April 2015, the Committee approved its modalities for the conduct of the comprehensive review, |4| which must be completed by 30 November 2016. The 2016 comprehensive review should be both retrospective and forward-looking in terms of the modalities. It should draw on an analysis of the implementation of resolution 1540 (2004) since the 2009 review, with a view to: improving the implementation of the resolution by Member States by identifying and recommending specific, practical and appropriate actions to this end; analysing the operation of the Committee in the conduct of its tasks; and recommending any changes considered necessary. Furthermore, the final report should be based on information at the disposal of the Committee, including through its approved matrices and relevant information and inputs from Member States and related intergovernmental, regional and subregional organizations.

65. Activities in support of the comprehensive review during 2015 included a briefing on 16 June to the Security Council on the process of the comprehensive review, after which the President of the Council issued a press statement. |5| The Security Council welcomed the presentation made by the Chair of the Committee on the process of the comprehensive review and invited all Member States, relevant international organizations and appropriate sectors of civil society, including industry, to engage actively in the process. This followed a discussion on the 2016 comprehensive review hosted by the Committee on 28 April, in New York, for participants in the Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons. On 28 and 29 May, the Institute for Security Studies, with the support of the Office for Disarmament Affairs, hosted a meeting in Cape Town, South Africa, for former members of the Group of Experts (see para. 46 above). On 23 October, the Institute presented the contributions of the former Group of Experts members, contained in a publication by the Institute, to an informal meeting of Committee members.

66. On 10 and 11 December, the Committee's working group on monitoring and national implementation held an informal meeting in the form of a retreat, and, in the context of the 2016 comprehensive review, considered the interim results of the provisional analysis of the revised matrices and discussed the challenges and improvements to the collection, presentation and management of data related to resolution 1540 (2004). The working group also reviewed the interaction with States on the updating of the matrices and the implementation of resolution 1540 (2004).

67. A consultation on the comprehensive review with representatives of academia is envisaged for April 2016. In June 2016, formal open consultations of the Committee with Member States, international organizations and relevant civil society organizations are planned to be held in New York prior to the finalization of the report on the comprehensive review. Other opportunities will be taken in 2016, as appropriate, to hold other events involving Member States and organizations such as the Inter-Parliamentary Union.

V. Assessment and analysis

68. In accordance with the recommendation contained in the 2014 annual review (S/2014/958), as well as in its fourteenth programme of work, the Committee finalized its preparations for the conduct of the 2016 comprehensive review through the adoption of its modalities paper and subsequent workplan by the agreed dates. In this regard, the Committee notes the progress made on the comprehensive review, including the identification of the basic outline of the report and the themes that will form the basis for the report on the comprehensive review. Furthermore, each of the Committee's working groups has developed a workplan to guide its activities in support of the comprehensive review. In particular, in June 2016, the Committee will hold formal open consultations with Member States and relevant international organizations and civil society organizations. Furthermore, by 1 September 2016, the first draft of the comprehensive review report should be ready for consideration by the Committee.

69. As called for in its fourteenth programme of work, the Committee continued a substantial effort to engage those States that had yet to submit their initial reports, including through direct interaction between the Chair of the Committee and the missions in New York and specific visits to States, at their invitation. Three additional initial reports were received in 2015, and further results from these substantial interactions could be achieved in 2016 if follow-up efforts with the 17 States that have yet to report are maintained.

70. The increase in the number of national reports and additional information shared by States with the Committee in 2015 is a trend that the Committee should encourage. The active engagement with States pursued by the Committee and its experts contributed to the sharing of that information by States. The Committee should continue to promote engagement with Member States and to assist States in providing the information necessary for the Committee to carry out its task of informing the Security Council on the status of implementation of resolution 1540 (2004).

71. With regard to the matrices, the deadline of 30 June 2015, set in the fourteenth programme of work, was met by the Group of Experts in reviewing all 193 Member State matrices. On the basis of comments on reviewed matrices received from States after that date, 183 revised matrices were approved by the Committee on 23 December and published on the Committee's website.

72. The Committee recognizes the value of the information that the matrices provide as a unique source of global data on measures taken by States to prevent the proliferation of weapons of mass destruction and their means of delivery to non-State actors and on appropriate control of related materials, and believes that the 2016 comprehensive review should address how to improve the updating of matrices and related data collection and extraction.

73. The Committee welcomes the increased submission by States of voluntary national implementation action plans, which demonstrates the interest of States in fulfilling their obligations under resolution 1540 (2004). Some of the action plans submitted in 2015 were the result of direct interaction between the Committee and its experts with the States concerned. The Committee noted that in the drafting of the voluntary national implementation action plans that involved the Committee and its experts, an inclusive approach was followed, involving all relevant national stakeholders, in identifying priority areas for improving implementation of resolution 1540 (2004) in accordance with a specific time frame, the expected outcomes and the stakeholders involved. This indicates that there is recognition that the implementation of resolution 1540 (2004) is facilitated through a multidisciplinary approach.

74. The points of contact nominated by States on the implementation of resolution 1540 (2004) play a useful role in promoting implementation of the resolution by helping to promote better internal coordination of implementation efforts and better collaboration between States, and by facilitating contact with the Committee. In response to the encouragement, outlined in the fourteenth programme of work, of efforts to expand the network of points of contact and to consider the development of regional training courses for them, the Committee and its experts developed and undertook a dedicated training course for points of contact in Asia and the Pacific. The training course was hosted by China, and its success contributed to the Committee's objective of motivating and strengthening the points of contact system. Future training programmes should be encouraged and supported. Courses are envisaged for Africa, and, in response to an offer from Chile, a training course will be held in 2016 for States in Latin America.

75. With regard to assistance, the continuous updating of the consolidated list of assistance requests in 2015 has enabled the Committee to track more efficiently the requests and responses received by the Committee. However, collecting accurate data for the list remains a challenge, since States rarely inform the Committee of assistance provided by or received from other sources, despite the formal request of the Committee that States provide such information.

76. A regional approach could improve the efficiency of the assistance system, and in 2015 the Committee considered a non-paper prepared by the Group of Experts on regional approaches to assistance, which served as guidance for the preparatory meeting for the 2016 African Union conference on assistance related to resolution 1540 (2004). The meeting provided a useful opportunity to prepare the agenda for the 2016 conference and to define the outcome that could be realistically expected from the conference. The outcome would also have an impact on other planned regional assistance conferences.

77. Continuing the trend of the past three years, the Committee's cooperation with international and regional organizations was significantly strengthened in 2015. These organizations supported the Committee in its assistance activities and responded positively to a significant number of assistance requests. However, it has become increasingly evident that international and regional organizations face constraints in responding in a precise manner to assistance requests, since the support that they can provide is limited by their mandates.

78. Another recurring challenge is the fact that some requests received are of a very general nature, lacking the detailed information that assistance providers need in order to respond to the requests. Visits to States and the development of voluntary national implementation action plans provide valuable opportunities to refine assistance requests. These opportunities should be exploited as much as possible in the future.

79. In addition to providing information and technical expertise, the Committee relies on the responses of Member States and international organizations in responding to assistance requests. Given the challenges described above, more attention and resources are still required for the assistance mechanism to obtain prompt and effective responses to requests and support technically sound and well-designed assistance requests.

80. The Committee should, in the framework of the comprehensive review, consider ways to improve the response to assistance requests, including the potential use of the Trust Fund for Global and Regional Disarmament Activities to finance small-scale projects resulting from the Committee's direct interaction with States.

81. In addition, the comprehensive review should address the issue of how to invite States that are in a position to do so to contribute to the Fund in order to finance small-scale projects promptly in direct response to assistance requests by States.

82. The engagement by the Committee and its experts with international organizations dealing with the implementation of resolution 1540 (2004) has continued to intensify. As noted in section III.D above, the Committee and its experts had substantial and positive engagement with key international organizations and other United Nations bodies in 2015. The strategy document referred to in paragraph 23 above is being implemented successfully. It will be important to maintain the high level of collaboration with these entities in the context of gaining insights for the 2016 comprehensive review. Collaboration, as appropriate, should also continue on activities such as the joint country visits with the Counter-Terrorism Executive Directorate and the regular exchange of calendars of activities with appropriate organizations. This would increase the opportunity for direct interaction with States.

83. With regard to regional organizations, the presence of a coordinator for issues related to resolution 1540 (2004) in CARICOM and staff in OAS, OSCE and the African Union dedicated to the implementation of the resolution is bearing fruit, particularly in the context of national implementation action plans and assistance. The Committee should continue to encourage these positions to be maintained and, as appropriate, established in other regions.

84. With regard to transparency and outreach, the number of outreach events conducted in 2015 in which Committee members and experts participated, which totalled 57, was lower than in 2013 or 2014, when 90 and 89 such events took place, respectively. This reduction is not a result of a decrease in demand from Member States and international organizations, but is owing to administrative reasons, as outlined in paragraph 3 (h) above. The initiatives by States to work with industry are noteworthy. Such initiatives draw on industry's expertise and experience in implementing effective export controls to develop lessons learned that can enhance the effective implementation of this obligation under resolution 1540 (2004). The Committee welcomes these initiatives, in particular the offers from the Republic of Korea and India to host regional conferences for industry.

85. As noted above, academic and non-governmental organizations have engaged in a significant number of activities related to resolution 1540 (2004), including research, public outreach, direct assistance to States and the analysis of means to improve implementation of resolution 1540 (2004). Many of these activities take advantage of the talents of students, young professionals and academic staff. The Committee should consider innovative means through direct engagement efforts by the Committee and its experts to draw on this pool of talent to advance the implementation of the resolution.

86. The value of outreach to Member States is enhanced when resources are applied where they are needed most. In those States that have developed voluntary national implementation action plans, priorities are often better defined than in States that lack such plans. The Committee should initiate dialogue with such States in order to encourage them to provide additional information, seek assistance and host events that would enhance implementation of resolution 1540 (2004), including through visits of the Group of Experts to initiate or facilitate the development of voluntary national implementation action plans, or invitations to the Committee and its experts to visit States.

87. As in previous years, the Committee welcomes the national, regional and international activities in support of resolution 1540 (2004), many of which are supported through the United Nations Trust Fund for Global and Regional Disarmament Activities. Accordingly, the Committee encourages those in a position to do so to consider contributing to support for such activities, including through donations to the United Nations Trust Fund, in order to facilitate the implementation of resolution 1540 (2004) in line with its programme of work.

88. It is recommended that the Committee brief the Security Council, either jointly with the Counter-Terrorism Committee and the Committee established pursuant to resolutions 1267 (1999) and 1989 (2011) or alone, at least twice a year, in the light of the evolution of current events, in particular the possibility of non-State actors manufacturing, acquiring, possessing, developing, transporting, transferring or using weapons of mass destruction and their means of delivery, in particular for terrorist purposes, and in the context of the comprehensive review process.

89. In 2016, all possible opportunities should be taken to promote consultation on the comprehensive review with Member States, international organizations and civil society. The arrangements for the events set out in the Committee's workplan will need to be undertaken promptly to ensure the fullest possible participation.

90. Drawing on the analysis above, and in the context of the 2016 programme of work and the comprehensive review, the following should be taken into account:

    (a) During 2015, the Committee undertook constructive interaction and dialogue with States on their implementation of resolution 1540 (2004), resulting in an increased number of visits to States, at their invitation, the submission of voluntary national implementation action plans, further submissions of outstanding initial reports, the holding of various round-table discussions on the resolution and the initiation of a dedicated training programme for national points of contact for the implementation of the resolution. It is clear that direct interaction with States produces concrete results, and the Committee and its Group of Experts should continue to take advantage of relevant opportunities as they arise in 2016;

    (b) The Committee and its working groups initiated the preparations for the 2016 comprehensive review and completed the revision of the matrices that would provide the key information for the review process. As foreseen in the modalities and the workplan for the comprehensive review, the Group of Experts should continue their detailed analysis of implementation in the light of the revised matrices;

    (c) Outreach to industry, academia and civil society broadened the interaction of the Committee with these entities and will provide valuable input to the comprehensive review, in particular through appropriate continued interaction;

    (d) Although the interaction between the Committee and relevant assistance providers was intensified during the reporting period, the actual delivery of assistance for implementation of resolution 1540 (2004) in response to requests submitted to the Committee remains low. The regional approach to assistance now adopted by the Committee could revitalize the delivery of assistance to those States that request it. Action to improve the operation of the assistance system requires additional and sustained attention.


Enclosure 1

Outreach events held in 2015 attended by the Chair or members of the Committee and/or its Group of Experts

Date Title Organizer/sponsor Location
Visits to States, at their invitation
14-17 April Visit to Zambia to assist with the drafting of a national report Zambia, the Committee and the United Nations Regional Centre for Peace and Disarmament in Africa Lusaka
20-21 May Visit to Malawi to assist with the drafting of a voluntary national implementation action plan Malawi, the Committee and the United Nations Regional Centre for Peace and Disarmament in Africa Lilongwe
4 June Visit to Jordan for a national round table Jordan, the Committee and the Office for Disarmament Affairs Amman
15-16 June Visit to Togo to assist with the drafting of a voluntary national implementation action plan Togo, the Committee and the United Nations Regional Centre for Peace and Disarmament in Africa Lomé
18-19 June Visit to Senegal to assist with the drafting of a voluntary national implementation action plan Senegal, 1540 Committee and the United Nations Regional Centre for Peace and Disarmament in Africa Dakar
12-14 August Visit to Antigua and Barbuda to provide legislative assistance Antigua and Barbuda and the CARICOM coordinator on resolution 1540 (2004) St. John's
12-15 October Visit to Ghana to assist with the drafting of a voluntary national implementation action plan Ghana and the Committee Accra
Joint visits to States
14-16 April Joint Counter-Terrorism Committee visit to Uzbekistan Uzbekistan and the Counter-Terrorism Executive Directorate Tashkent
20-22 May Joint Counter-Terrorism Committee visit to Italy Italy Rome
Other country-specific activities
14-15 January Biological Weapons Convention implementation national round table Benin, Office for Disarmament Affairs (Geneva) and the European Union Porto-Novo
27 January National round table on resolution 1540 (2004) Dominican Republic and the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean Santo Domingo
23 February National round table on the implementation of resolution 1540 (2004) Belize and the United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean Belmopan
26 May National round table in Serbia on the implementation of the national implementation action plan Serbia, OSCE and the Office for Disarmament Affairs Belgrade
25-26 June Workshop on the implementation of Montenegro's action plan for resolution 1540 (2004) Montenegro, OSCE and the Office for Disarmament Affairs Podgorica
29-30 July Interministerial working group meeting on national implementation action plan development Tajikistan and OSCE Dushande
28-29 September National event assisting Turkmen authorities in the development of a voluntary national implementation action plan Turkmenistan and OSCE Ashgabat
5-7 October Meeting with Tajikistan officials to finalize the national implementation action plan. OSCE Vienna
8-9 October National round table on the implementation of resolution 1540 (2004) Republic of Moldova and OSCE Chisinau
Other outreach activities
12-13 January Biological Weapons Convention implementation for decision makers Benin, Office for Disarmament Affairs (Geneva) and the European Union Porto-Novo
27-28 January Biological Weapons Convention regional workshop for East Africa Office for Disarmament Affairs (Geneva) Nairobi
29-30 January Workshop on non-proliferation and export compliance in composites China Arms Control and Disarmament Association and King's College London Centre for Science and Security Studies Chongqing, China
19-20 February Workshop on ensuring effective inter-agency interoperability and coordinated communication in case of chemical and/or biological attacks Counter-Terrorism Implementation Task Force and the United Nations Counter-Terrorism Centre The Hague, Netherlands
24-27 March Regional workshop on Integrated Nuclear Security Support Plans for members of the Forum for Nuclear Regulatory Bodies in Africa IAEA Arusha, United Republic of Tanzania
23-24 March Regional workshop on the implementation of resolution 1540 (2004) United Nations Regional Centre for Peace, Disarmament and Development in Latin America and the Caribbean Lima
16 April Regional workshop on Integrated Nuclear Security Support Plans for Arabic-speaking States IAEA Cairo
22-23 April Global Partnership against the Spread of Weapons and Materials of Mass Destruction working group Germany and the Global Partnership Munich, Germany
28 April Side event at the Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons United Nations New York
28 April Ninth nuclear security information exchange meeting IAEA Vienna and New York
5-6 May Experts' meeting on coordination on border management Counter-Terrorism Implementation Task Force and INTERPOL Lyon, France
5-7 May Global Initiative to Combat Nuclear Terrorism nuclear detection working group Global Initiative to Combat Nuclear Terrorism Karlsruhe, Germany
20 May Forum for Security Cooperation OSCE Vienna
26 May Lecture and discussion on subjects related to resolution 1540 (2004) hosted by Nelson Mandela Metropolitan University Nelson Mandela Metropolitan University Port Elizabeth, South Africa
27 May Annual meeting of points of contact OSCE and the Office for Disarmament Affairs Belgrade
27 May Lecture and discussion on subjects related to resolution 1540 (2004) hosted by the Cape Town Component of the International Centre for Genetic Engineering and Biotechnology at the Institute of Infectious Disease and Molecular Medicine University of Cape Town Cape Town, South Africa
28-29 May Meeting of former experts Committee, Office for Disarmament Affairs and the Institute for Security Studies Cape Town, South Africa
2-3 June Middle East regional workshop on resolution 1540 (2004) Jordan, the Committee and the Office for Disarmament Affairs Amman
15 -16 June Seventh Regional Forum of the Association of Southeast Asian Nations intersessional meeting on non-proliferation and disarmament Canada, Malaysia and New Zealand Kuala Lumpur
29 June-1 July Seminar on effective practices in the implementation of resolution 1540 (2004), focusing on the preparation and implementation of voluntary national implementation action plans Croatia, Office for Disarmament Affairs and the Regional Arms Control Verification and Implementation Assistance Centre Zagreb
30 June-2 July Global Conference on Biological Threat Reduction World Organization for Animal Health and WHO Paris
13-17 July Summer School on Disarmament and Non-Proliferation Mexico Mexico City
22-23 July Conference on Countering the Financing of Proliferation of Weapons of Mass Destruction United States of America Vienna
10-14 August Meeting of governmental experts on the Biological Weapons Convention States Parties to the Biological Weapons Convention Geneva
17-20 August Regional workshop on Integrated Nuclear Security Support Plans for States in South-East Asia IAEA Chiang Mai, Thailand
24-26 August Meeting of the task force of senior officials on issues related to weapons of mass destruction proliferation financing of the Eastern and Southern Africa Anti -Money Laundering Group South Africa and the Group's task force Johannesburg, South Africa
26 August Round-table discussion on the theme "Preventing the proliferation of weapons of mass destruction to non-State actors: the implementation of United Nations Security Council resolution 1540 (2004) in Africa" South Africa and the Institute for Security Studies Pretoria, South Africa
26-27 August Office of Disarmament Affairs expert group meeting on the development of a training module on the international legal framework against chemical, biological, radiological and nuclear terrorism Office of Disarmament Affairs Vienna
7-11 September Training course for points of contact China and the Office for Disarmament Affairs Qingdao, China
14-15 September Workshop for the Intergovernmental Authority on Development member States on the implementation of resolution 1540 (2004) Intergovernmental Authority on Development, Institute for Security Studies Nairobi
24-25 September Preparatory meeting for the 2016 African Union conference on assistance related to resolution 1540 (2004) African Union and the Office for Disarmament Affairs Vienna
30 September-1 October Global Partnership against the Spread of Weapons and Materials of Mass Destruction working group meeting Germany and the Global Partnership Berlin
9 October Meeting on coordination and planning for support for implementation of resolution 1540 (2004) in the Latin American and Caribbean regions Canada and the Office for Disarmament Affairs New York
21 -23 October Regional workshop for judges, prosecutors and police from North-East Asia (China, the Democratic Republic of Korea, Japan, Mongolia and the Republic of Korea) CTED and the Office for Disarmament Affairs Bangkok
27-28 October International maritime transport nuclear security exercise Morocco and Spain Madrid
12 November Meeting on Integrated Nuclear Security Support Plans and voluntary national implementation action plans IAEA and Committee experts Vienna
13 November Information exchange meeting IAEA Vienna
19-20 November Fourth Wiesbaden meeting with industry Germany, the Committee and the Office for Disarmament Affairs Wiesbaden, Germany
14-18 December Meeting of States Parties to the Biological Weapons Convention States Parties to the Biological Weapons Convention Geneva

Abbreviations: CARICOM, Caribbean Community; IAEA, International Atomic Energy Agency; INTERPOL, International Criminal Police Organization; OSCE, Organization for Security and Cooperation in Europe; WHO, World Health Organization.


Enclosure 2

Outreach events held in 2015 not attended by the Chair or members of the Committee or its Group of Experts™

Date Title Organizer/sponsor Location
14 January 11th Asian senior-level talks on non-proliferation (ASTOP XI) Japan Tokyo
4-5 February Regional non-proliferation coordination workshop United States of America Panama City
17-19 February 22nd Asian export control seminar Japan Tokyo
24-26 February Review of national implementation of resolution 1540 (2004), with particular focus on chemical safety and security Ukraine and OSCE Vienna
4-6 March Workshop on border security and management for countering terrorism in Central Asia Turkmenistan, the Counter-Terrorism Implementation Task Force and the United Nations Regional Centre for Preventive Diplomacy for Central Asia Ashgabat
10 March National round table on a voluntary national implementation action plan Uzbekistan Tashkent
23-24 April Meeting of the preparatory committee for the 2016 nuclear security meeting IAEA Vienna
30 June-1 July Office for Disarmament Affairs regional conference for resolution 1540 (2004) Turkmenistan and the Office for Disarmament Affairs Ashgabat
27-28 July Special meeting of the Counter-Terrorism Committee with Member States and international and regional organizations on stemming the flow of foreign terrorist fighters Counter-Terrorism Committee and Spain Madrid
8-10 September Raising awareness and promoting cooperation on risk mitigation in the Regional Forum of the Association of Southeast Asian Nations Philippines, the Regional Forum and the European Union Manila
28-29 September Workshop on the transportation sector and counter-proliferation international good practice Malta and the Stockholm International Peace Research Institute Valetta
6-8 October Operation Cosmo debriefing World Customs Organization Brussels
13-16 October Counter-Terrorism Executive Directorate country visit to Nigeria Nigeria and the Counter-Terrorism Executive Directorate
28-29 October High-level workshop on the promotion of adherence to the 2005 amendment to the Convention on the Physical Protection of Nuclear Material United Kingdom, IAEA and the Office for Disarmament Affairs Vienna
29-30 October Meeting on the universalization of the Biological Weapons Convention in Africa African Union, Biological Weapons Convention Implementation Support Unit Addis Ababa
10-12 November Regional workshop on effective border control coordination IAEA Rabat

Abbreviations: IAEA, International Atomic Energy Agency; OSCE, Organization for Security and Cooperation in Europe.

™ The list includes those events for which the Committee received an invitation from the organizer/sponsor, but the Chair, members or experts of the Committee did not attend. The reasons for non-attendance were varied and included, inter alia, conflicts with other events, lack of a speaking role at the event or financial or administrative constraints.


Notes:

1. The 2015 review contains data and information received as at 21 December 2015. Data and information received in 2015 after that date will be reflected in the 2016 review. [Back]

2. The IAEA General Conference's resolution 59/10 on nuclear security refers to resolution 1540 (2004). [Back]

3. Further details of these meetings, including their organizers and sponsors, can be found in enclosure 1. [Back]

4. Available at www.un.org/en/sc/1540/comprehensive-review/2016.shtml. [Back]

5. Available at www.un.org/en/sc/1540/comprehensive-review/2016.shtml. [Back]


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