CSCAP MEMORANDUM NO. 27

Implementation of United Nations Security Council
Resolution (UNSCR) 1540

A Memorandum from theCouncil for Security Cooperation in the Asia Pacific (CSCAP)
April 2015

Council for Security Cooperation in the Asia Pacific (CSCAP)
Memorandum No. 27
Implementation of United Nations Security Council
Resolution (UNSCR) 1540
April 2015
Introduction
Countries of the Asia Pacific region possess a wide range of sensitive
capabilities and face very different nonproliferation and terrorism challenges.
Several countries possess nuclear capabilities that include advanced civilian andmilitary capabilities or civil nuclear fuel cycle technology. In addition, there areseveral nuclear research reactors located throughout the region, dozens of
nuclear energy reactors planned for construction by 2025, and a growing level ofexpertise in nuclear technology. Industries using biological and chemicalmaterials and technology are also expanding in the Asia Pacific and a few states
now possess advanced rocket technology. These dual-use technologies andmaterials have legitimate peaceful applications, but can also be used to develop
illicit nuclear, biological, or chemical weapon programs or to conduct terrorist
attacks.
While internal security and terrorist threats vary across the Asia Pacific,
nonproliferation and terrorism challenges are of concern for the whole region
because the use of nuclear, biological, or chemical weapons, materials, ortechnology by a terrorist anywhere in the Asia Pacific would have dramaticconsequences well beyond the location where it is conducted. As the mostdynamic region of the world, the Asia Pacific sits strategically at the intersectionof sea lanes with a high volume of cargo traffic and, therefore, a high potential forillicit trafficking of sensitive materials and technologies.
United Nations Security Council Resolution (UNSCR) 1540 calls for all UN
member states to develop and enforce appropriate legal and regulatory
measures against the proliferation of nuclear, biological, and chemical weapons
and their means of delivery, in particular, to prevent the spread of weapons ofmass destruction to non-state actors. It recognizes non-state proliferation as athreat to peace under the terms of Chapter VII of the United Nations Charter andcreates an obligation for states to prevent proliferation of these weapons andtheir means of delivery to non-state actors. In view of the adoption of UNSCR
1977 in 2011, which gave a 10-year extension to the mandate of theUNSCR1540 Committee to monitor efforts to develop and maintain such controls,
the Council for Security Cooperation in the Asia Pacific (CSCAP) proposes anumber of general principles and specific policy recommendations to facilitate theResolution's implementation in the Asia Pacific region.

1General Principles
The proliferation of nuclear, biological, and chemical weapons and their means ofdelivery is a threat to international peace and security.
The potential use of nuclear, biological, and chemical weapons, materials,equipment, and technology by non-state actors for acts of terrorism is a threat tointernational peace and security.
Preventing the proliferation of nuclear, biological, and chemical weapons andtheir means of delivery requires complementary measures beyond theobligations contained in the relevant multilateral treaties and conventions.
Access to dual-use goods and technology for peaceful purposes must beensured when implementing the provisions of UNSCR 1540.
Transparency, cooperation, and coordination of efforts are needed to strengthen
the response to the challenge posed by the proliferation-terrorism nexus.
Education, increased public awareness, and research are crucial to help create
an environment conducive to prevent proliferation and counter terrorism.
Business sector support and government outreach are critical for effective control
of sensitive dual-use technologies.
Recommendations
Recognizing that UNSCR 1540 outlines what UN member states are required todo, not how they should do so, and building upon the work of the CSCAP Study
Group on Countering the Proliferation of Weapons of Mass Destruction in theAsia Pacific ("the WMD Study Group"), this memorandum recommends thefollowing policy actions at the national and regional levels to better facilitate
implementation of UNSCR 1540 in the Asia Pacific region.
National Initiatives
Given that each UN member state has a legal obligation to implement UNSCR
1540, all states are obliged to: Refrain from providing any form of support to non-state actors that attempt
to develop, acquire, manufacture, possess, transport, transfer or use
nuclear, chemical or biological weapons and their means of delivery.
(Paragraph 1)2 Adopt and enforce effective laws that prohibit any non-state actor to
manufacture, acquire, possess, develop, transport, transfer or use nuclear,chemical or biological weapons and their means of delivery. (Paragraph 2)
 Take and enforce effective measures to establish domestic controls toprevent the proliferation of nuclear, chemical, or biological weapons andtheir means of delivery. (Paragraph 3)
UNSCR 1540 calls on UN member states to submit an initial report describing
the steps that they have taken or intend to take toward implementation and toprovide additional information following submission of the initial report.
One point of contact (POC) should be identified as a focal point for
implementation and to help enhance interagency, regional, and international
coordination, prioritization, and identification of assistance needs, requests, andoffers.
To promote effective implementation of UNSCR 1540 all states should voluntarily
prepare and submit to the 1540 Committee, a national implementation action
plan (NAP) mapping out priorities and plans. Recognizing that implementation isa national decision, the scope, content, and form of NAP will vary and should fitnational circumstances. NAPs, however, should explain efforts to address all theobligations contained in the operative paragraphs of UNSCR 1540.
NAPs should describe efforts to adopt and enforce laws that prohibit any nonstate actor to manufacture, acquire, possess, develop, transport, transfer, or use
nuclear, biological, or chemical weapons and their means of delivery.
NAPs should describe efforts to establish a regulatory framework to prevent suchproliferation. In describing this framework, NAPs should detail efforts to:
Develop and maintain measures to account for and secure sensitivetechnologies and materials in production, use, storage, or transport
Develop and maintain physical protection measures
Develop and maintain border controls and law enforcement efforts
Develop procedures to stop and disrupt financial resources of non-state
actors involved in the misuse of WMD for terrorism and take swift action
against them and their financiers

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Establish, develop, review, and maintain national export and transshipment
controls
Collaborate with private industry in developing regulatory practices that help
facilitate trade in a secure trading environment
NAPs should include a detailed description of assistance required to complete
implementation of the obligations under UNSCR 1540 or assistance andexpertise available to assist others in need.
Regional Initiatives
Regional organizations have an important role to play in facilitating
implementation of UNSCR 1540 because they benefit from greater cultural andinstitutional knowledge of the regional states they represent and have a better
understanding and appreciation of local priorities. Other incentives for states tocooperate at the regional level include burden sharing, the pooling of resources,and other associated efficiency gains. Regional cooperation on UNSCR 1540
implementation complements national initiatives as well as cooperation at thebilateral level.
As called upon by UNSCR 1977, and following the successful example of theCaribbean Community, an association of Caribbean states, Asia Pacific regionalorganizations should designate a POC to facilitate UNSCR 1540 implementation.
Regional role models or champions should be identified. These states would help
market the benefit of effective UNSCR implementation and act as a force
multiplier at the regional level.
Regional organizations, in particular economy-focused organizations shouldreach out to the private sector, raise awareness of companies of proliferation
risks, and help them adopt internal practices that are in compliance with regional
governments' strategic trade control laws and regulations.
Regional incentives for cooperation should be established.
The clearinghouse should collect region-specific information so regional states
can benefit from each other's expertise, share best practices, and provide
examples of "appropriate effective measures" to implement UNSCR 1540.
Regional organizations should consider making a request for financial andmanpower assistance to implement UNSCR 1540 on behalf of the region theyrepresent.

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Taking into consideration unique social, political, economic, and security
contextual factors pertaining to specific geographical sub-regions or regions,regional organizations should develop standards and criteria for domestic
proliferation controls and assist national governments in developing NAPs.
A regional technical group, formed under the auspices of one of the existingregional organizations, should assist regional governments in developing NAPs
and develop tangible shared regional objectives to facilitate the process ofidentifying and prioritizing the steps each state should take to better prevent
proliferation while facilitating trade.
Regional organizations should establish a forum for regional coordination
between regulatory and enforcement agencies. Licensing agencies would share
information on companies that raised suspicion and enforcement agencies would
share information on strategic trade control violations and suspicioustransactions.
Regional organizations should help develop common standards for trade that willboth help facilitate legitimate trade and discourage illicit trade.

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ABOUT CSCAP
CSCAP is a non-governmental (second track) process for dialogue on security
issues in the Asia Pacific. Membership in CSCAP is on an institutional basis andconsists of Member Committees. Current membership comprises Australia,
Brunei Darussalam, Cambodia, Canada, China, the EU, India, Indonesia, Japan,
the Democratic People’s Republic of Korea, the Republic of Korea, Malaysia,Mongolia, New Zealand, the Philippines, Russia, Singapore, Thailand, Vietnam
and the USA.
The functions of CSCAP are as follows:a. to provide an informal mechanism by which political and security issues
can be discussed by scholars, officials, and others in their privatecapacities;
b. to encourage the participants of such individuals from countries andterritories in the Asia Pacific on the basis of the principle of inclusiveness;c. to organise various working groups to address security issues andchallenges facing the region;d. to provide policy recommendations to various intergovernmental bodies onpolitical-security issues;e. to convene regional and international meetings and other cooperative
activities for the purpose of discussing political-security issues;
f. to establish linkages with institutions and organisations in other parts of theworld to exchange information, insights and experiences in the area ofregional political-security cooperation; andg. to produce and disseminate publications relevant to the other purposes ofthe organisation.
Study Groups are the primary mechanism for CSCAP activity. As of June 2014,
there were three CSCAP Study Groups. These are concerned with: (i)Countering the Proliferation of Weapons of Mass Destruction in the Asia Pacific.
(ii) Principles for Good Order at Sea; and (iii) Regional Security Architecture.
This memorandum was produced by the CSCAP Study Group on Countering theProliferation of Weapons of Mass Destruction in the Asia Pacific and wasapproved by the out of session CSCAP Steering Committee Meeting via
electronic consultation on 2 April 2015.
Further information on CSCAP can be obtained from the CSCAP website atwww.cscap.org or by contacting the CSCAP Secretariat:

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CSCAP Secretariat
c/o ISIS Malaysia
1 Persiaran Sultan Salahuddin
PO Box 12424
50778 Kuala Lumpur
Malaysia
T: +603-2693 9366 Ext 125
F: +603-2693 9375
E: cscap@isis.org.my7

CSCAP Memoranda
CSCAP Memoranda are the outcome of the work of Study Groups approved by theSteering Committee and submitted for consideration by the ASEAN Regional Forumand other bodies.
 Memorandum No.26 – Towards an Effective Regional Security Architecture for theAsia PacificAuthor: Study Group on Regional Security Architecture
Date published: June 2014
 Memorandum No.25 – Maritime CBMs, Trust and Managing Incidents at Sea
Author: Study Group on Principles for Good Order at Sea
Date published: June 2014
 Memorandum No.24 – Safety and Security of Vital Undersea Communications
Infrastructure
Author: Experts Group on Vital Undersea Communications InfrastructureDate published: May 2014
 Memorandum No.23 – Enhancing Water Security in the Asia PacificAuthor: Study Group on Water Resources Security
Date published: January 2014
 Memorandum No.22 – Non-Proliferation of Weapons of Mass Destruction
Author: Study Group on Countering the Proliferation of Weapons of Mass
Destruction in the Asia PacificDate published: September 2012
 Memorandum No.21 – Implications of Naval Enhancement in the Asia PacificAuthor: Study Group on Naval Enhancement in the Asia PacificDate published: August 2012
 Memorandum No.20 – Ensuring A Safer Cyber Security Environment
Author: Study Group on Cyber Security
Date published: May 2012
 Memorandum No.19 – Reduction and Elimination of Nuclear Weapons
Author: Study Group on Countering the Proliferation of Weapons of Mass
Destruction in the Asia PacificDate published: February 2012
 Memorandum No.18 – Implementing the Responsibility to Protect (RtoP)
Author: Study Group on the Responsibility to Protect (RtoP)
Date published: September 20118

 Memorandum No.17 – Promoting the Peaceful Use of Nuclear Energy
Author: Study Group on Countering the Proliferation of Weapons of Mass
Destruction in the Asia PacificDate published: June 2011
 Memorandum No.16 – Safety and Security of Offshore Oil and Gas Installations
Author: Study Group on Safety and Security of Offshore Oil and Gas Installations
Date published: January 2011
 Memorandum No.15 – The Security Implications of Climate Change
Author: Study Group on the Security Implications of Climate Change
Date published: July 2010
 Memorandum No.14 – Guidelines for Managing Trade of Strategic Goods
Author: Export Controls Experts Group (XCXG)
Date published: March 2009
 Memorandum No.13 – Guidelines for Maritime Cooperation in Enclosed and SemiEnclosed Seas and Similar Sea Areas of the Asia PacificAuthor: Study Group on Facilitating Maritime Security Cooperation in the Asia
Pacific
Date published: June 2008
 Memorandum No.12 – Maritime Knowledge and Awareness: Basic Foundations ofMaritime Security
Author: Study Group on Facilitating Maritime Security Cooperation in the Asia
Pacific
Date published: December 2007
 Memorandum No.11 – Human Trafficking
Author: Study Group on Human Trafficking
Date published: June 2007
 Memorandum No.10 – Enhancing Efforts to Address Factors Driving International
TerrorismAuthor: Study Group on Enhancing the Effectiveness of the Campaign Against
International Terrorism with Specific Reference to the Asia Pacific Region
Date published: December 2005
 Memorandum No.9 – Trafficking of Firearms in the Asia Pacific Region
Author: Working Group on Transnational Crime
Date published: May 20049 Memorandum No.8 – The Weakest Link? Seaborne Trade and the Maritime
Regime in the Asia PacificAuthor: Working Group on Maritime Cooperation
Date published: April 2004
 Memorandum No.7 – The Relationship Between Terrorism and Transnational
CrimeAuthor: Working Group on Transnational Crime
Date published: July 2003
 Memorandum No.6 – The Practice of the Law of the Sea in the Asia PacificAuthor: Working Group on Maritime Cooperation
Date published: December 2002
 Memorandum No.5 – Cooperation for Law and Order at Sea
Author: Working Group on Maritime Cooperation
Date published: February 2001
 Memorandum No.4 – Guidelines for Regional Maritime Cooperation
Author: Working Group on Maritime Cooperation
Date published: December 1997
 Memorandum No.3 – The Concepts of Comprehensive Security and Cooperative
Security
Author: Working Group on Comprehensive and Cooperative Security
Date published: December 1995
 Memorandum No.2 – Asia Pacific Confidence and Security Building Measures
Author: Working Group on Confidence and Security Building Measures
Date published: June 1995
 Memorandum No.1 – The Security of the Asia Pacific Region
Author: CSCAP
Date published: April 1994

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