Blog 1 – Experiences of a student at the Meetings of Experts of the Biological and Toxin Weapons ConventionPosted: August 4, 2019
By Chiara Barbeschi
I am Chiara Barbeschi and study Security Studies (BSc) at Leiden University in the Netherlands. Interning at The Trench and representing the non-governmental organisation (NGO) as a Research Associate at the five Meetings of Experts (MXs) of the Biological and Toxin Weapons Convention (BTWC) is an incredible opportunity that Jean Pascal Zanders granted me. Blogging about it is a chance of sharing my perspective, impressions and account of the conference.
I know that there are also the daily factual reports Richard Guthrie writes and distributes in the meeting room. My posts convey the thoughts of a student experiencing the BTWC meetings for the first time.
MX1 (29 – 30 July 2019) was on Cooperation and Assistance, with a Particular Focus on Strengthening Cooperation and Assistance under Article X. Ambassador Victor Dolidze of Georgia chaired it.
On the first day, I arrived into an empty conference room, Room XX that would host the Meeting of Experts. Slowly as the delegates headed towards their assigned seats, the chair opened the session of MX1 with introductory remarks and administrative information. The fast pace of the MX1 was set and in one and a half days the report was agreed upon and the MX1 closed. In my opinion and from my observations, this pace can be explained by two opposing arguments. On the one hand, for some agenda items, few countries had prepared national working papers or did not make national statements. Thus less time was spent on these agenda items. On the other hand, as no significant disagreements appeared, MX1 took on a fast pace on issues for which many states had an interest.
My impressions on both days of the MX1 were that the interactive discussions were somehow limited. However, what struck me most were the knowledge-driven technical presentation and the various innovations given in the national reports. Some initiatives that I recorded as good innovations were
[Cross-posted from The Trench]
From 17 until 28 June I ran an Executive Course on Export Control at the M. Narikbayev KAZGUU University in Nur-Sultan (formerly Astana), Kazakhstan. Its goal was twofold. First, it tested in a real university setting parts of a master’s course on chemical, biological, radiological and nuclear (CBRN) dual-use technology transfer controls I have been developing since February 2018. Its second purpose was to attract interest in organising the full master’s course from other Central Asian academic institutes.
Set in the broader context of peace and disarmament education, the Executive Course posed considerable challenges from the perspective of educational methodology and the participants’ varied professional and cultural backgrounds. Contrary to many vocational training initiatives in treaty implementation assistance or strengthening treaty norms, the Executive Course (and the fuller master’s course on CBRN dual-use technology transfer controls) sought to deepen the general understanding of the security concerns about dual-use technologies, make participants understand how these might affect their own work and responsibilities both as a professional and an individual, and help them to identify and address issues of dual-use concern. As a general conceptual framework, the recommendations presented by the Advisory Board on Education and Outreach (ABEO) of the Organisation for the Prohibition of Chemical Weapons (OPCW) in its Report On The Role Of Education And Outreach in Preventing The Re-emergence of Chemical Weapons (OPCW document ABEO-5/1, 12 February 2018) guided both the preparations and the conduct of the Executive Course.
This blog posting introduces the master’s course, describes the preparations for the Executive course, identifies challenges that emerged in the planning phase and while the course was underway, and discusses how they were overcome.
[Cross-posted from The Trench]
Origins and negotiation of Article VII of the Biological and Toxin Weapons Convention
A new research report
Article VII of the Biological and Toxin Weapons Convention (BTWC) belongs to the more obscure provisions. It reads as follows:
Each State Party to this Convention undertakes to provide or support assistance, in accordance with the United Nations Charter, to any Party to the Convention which so requests, if the Security Council decides that such Party has been exposed to danger as a result of violation of the Convention.
Since the treaty’s entry into force in 1975, states parties hardly looked at the one-paragraph article. Up to the 7th Review Conference (2011) the only additional understandings and agreements concerned general implementation procedures and possible roles of appropriate international organisations, including the World Health Organisation (WHO), the World Organisation for Animal Health (OIE) and the Food and Agricultural Organisation (FAO), as well as coordination functions for the United Nations (UN). Attention to the article increased markedly at the 7th Review Conference, a consequence of a heightened perceived worldwide risk from emerging and re-emerging diseases, fears of outbreaks resulting from biosecurity and -safety lapses in high-containment laboratories, concerns about scientific and technological advances in the life sciences that could be misused for hostile purposes, potential terrorist or criminal interest in highly contagious pathogens, and so on. The Ebola outbreak in West Africa between 2013–16 and subsequent evaluation of the international response raised concerns among the BTWC states parties about how the international community might respond to a deliberate disease outbreak, whether as a consequence of an act of war or terrorism.
These trends have led to an affirmation of the humanitarian dimension of Article VII. As Nicholas Sims noted in his study of the treaty’s early functioning (The Diplomacy of Biological Disarmament. 1988, p. 24): ‘Statements made in the UN, with an eye on future references to the negotiating history of the convention, indicate that this article is generally understood to refer to humanitarian, not military, assistance.’ With nothing seemingly contradicting today’s humanitarian imperative, most attention has so far gone to the organisation and coordination of international response to the release of a highly infectious biological weapon (BW).
Questions about triggering Article VII
Much less understood is how Article VII can be activated. There are no procedures; there has not been any determination who should be involved in the process. Which are the (possible) roles for the BTWC Implementation Support Unit (ISU), the treaty’s three depositary states (Russia, United Kingdom and United States), the UN Secretary-General (UNSG), or the UNSC is a question that remains unanswered. It should be added in this context that some actors or available tools are of much more recent origin and were consequently not envisaged during the treaty negotiation. The mandate for the ISU was decided at the 6th Review Conference (2006). The UNSG’s mechanism to investigate allegations of chemical and biological weapons (CBW) use received endorsement from the UNSC and the UN General Assembly (UNGA) in 1988 and has since then been strengthened. Through the review process, BTWC states parties have elaborated a consultative mechanism under Article V to address compliance concerns.
Moreover, given the humanitarian framework guiding today’s debates on implementing Article VII, from the perspective of triggering the provision there are several dissonant elements. The article has its origins in a 1968 working paper by the United Kingdom proposing a separate treaty banning biological warfare. The language underwent several reiterations over the next three years and at one point disappeared entirely from the draft convention, only to resurface in its current formulation just before the conclusion of the negotiations. The different versions of the article left traces from earlier intentions and understandings, meaning that the intent behind certain phrases that may be uncertain or appear confusing today. This is particularly the case for the following:
- provide or support assistance: what is the nature of the assistance, humanitarian, military, or any other type?
- in accordance with the United Nations Charter: why does the article include a reference to the UN Charter, particularly since the Charter allows for punitive actions and even resort to military force under Chapter VII? In addition, if the assistance is humanitarian, as assumed today, what prompted the reference to the UN Charter? The word ‘humanitarian’ features only once in the founding text (Chapter I, Article 1, 3); the words ‘aid’ or ‘assistance’ (in the sense of humanitarian or non-military aid) are absent. Furthermore, while the UN’s mandate includes the promotion of arms control and disarmament, nothing in the Charter makes it responsible for monitoring treaty compliance or addressing treaty violations. Besides Article VII, only Articles V and VI refer to the Charter or UNSC. The context concerns the resolution of any problems relating to the BTWC’s objective, way of implementation, or breaches of the convention.
Article V raises the possibility of organising bi- and multilateral consultations and cooperation ‘through appropriate international procedures within the framework of the United Nations and in accordance with its Charter’ in case direct interaction between the parties concerned is impossible or unproductive. Overall the provision is vague. Review conferences have tried to clarify it, in particular with regard to the convening of a consultative meeting. Article VI grants a state party the right to lodge a complaint with the UNSC if it believes that another state party has breached its treaty obligations. Furthermore, should the UNSC initiate an investigation, all states parties undertake to cooperate with such investigation. However, states parties have not elaborated on the references to the UN Charter and the UNSC. They have also not answered whether there is or should be any linkage between either Articles V or VI and Article VII.
- if the Security Council decides that such Party has been exposed to danger: why is there a requirement for Security Council action if assistance can be provided under basic humanitarian principles? On what basis will the UNSC make this decision? The Third and Fourth Review Conferences (1991 and 1996) noted under both Articles V and VI the UNSG’s investigative mechanism as endorsed in UNSC Resolution 620 (1988) and UNGA Resolution 45/57 (1990) and ‘to consult, at the request of any State Party, regarding allegations of use or threat of use of bacteriological (biological) or toxin weapons and to cooperate fully with the United Nations Secretary-General in carrying out such investigations’. Later review conferences refer back to this text and have not elaborated any further on the references to the UN Charter or the UNSC. The UNSC, as its name indicates, bears primary responsibility for the maintenance of international peace and security (Chapter V, Article 24, 1). Logic therefore suggests that Article VII applies exclusively to the deliberate use of a pathogen or toxin as a weapon. This would thus exclude a situation of a country facing an outbreak after an accidental release of a disease-causing agent from a neighbour’s secret BW research or production facility (similar to the anthrax outbreak near Sverdlovsk in 1979). In other words, according to this interpretation Article VII refers to an act of war, even though the BTWC lacks references to ‘use’ in both its title and Article I.
- as a result of violation of the Convention: does this clause imply violation of any part of the BTWC? If affirmative, this could include illicit weapon programmes or outbreaks resulting from illicit activities. How would this square with the interpretation that Article VII only refers to an act of war?
Furthermore, only states parties can violate the BTWC, which implies that dangers arising from other actors—non-states parties (signatory or non-signatory states) or non-state actors—could not be the subject of Security Council action, and therefore not of state party assistance.
Aim of the research paper
In November 2016, in the margins of the 8th Review Conference of the BTWC, the Fondation pour la recherche stratégique (FRS) and UN Institute for Disarmament Research (UNIDIR) held a tabletop exercise (TTX) to understand better the elements that would have to be in place to trigger Article VII and the consequences such action may have on the organisation of international assistance. The TTX revealed that decision-making was severely hampered because of the article’s lack of clarity, uncertainty about possible procedures and their consequences on the process as a whole, and the types of actors that could be called upon (e.g. UNSG, ISU, depositary states, etc.).
Discussions at a workshop on ‘Article VII of the BWC and the UN System’, held in New York on 12–13 December 2017 as part of the Project on strengthening global mechanisms and capacities for responding to deliberate use of biological agents, also touched upon the specific responsibilities of UN organs following activation of Article VII. The question was raised whether there was any relevancy in trying to recover the negotiators’ original intentions. In reply, UN officials said that since the implications of triggering Article VII had never been studied and no procedures have ever been put in place, following a request the first task for the UN would be to study legal and negotiation documents to determine which types of action might be possible and which roles the UNSC and UNSG might play.
This research paper traces the article’s negotiation history between 1968 and 1971. During those three years negotiations took some sharp turns, and draft treaty texts were dropped and replaced by alternatives that framed BW control in radically different ways. In the final two months of negotiation, some degree of synthesis between different approaches took place. With respect to Article VII, when Morocco introduced an amendment to reinsert language based on the British proposal of August 1971, the context had completely changed, not in the least because the original draft provisions banning methods of biological warfare and a mechanism to investigate allegations of BW use had been dropped. Whereas Article IV in the original British draft convention formed part of the fabric to prevent biological warfare, the later Article VII had no obvious connections to the BTWC’s core prohibitions in Articles I – III. It also lacked direct or explicit links to Articles V and VI.
Moreover, the humanitarian intent, systematically affirmed by British government officials and diplomats, became blurred at times, especially after an addition to a draft UNSC resolution that was to accompany the BTWC made explicit reference to Article 51 of the UN Charter on individual and collective self-defence. It shifted the focus away from aiding the victim of a biological attack to possible assistance in countering the aggressor.
Download the full research report
[Cross-posted from The Trench]
In my blog posting of 16 January entitled ‘Palestine: From a “will-be” party to the CWC to a “would-have-been”?’, I described how Palestine submitted its instrument of accession to the Chemical Weapons Convention (CWC) with the UN Secretary-General on 29 December, only to withdraw it on 8 January. Since having achieved the status of ‘UN non-member observer state’ in 2012, Palestine has joined over 50 international agreements, including the Biological and Toxin Weapons Convention, to which it became formally a party on 16 January. The CWC is the only treaty on which it reversed its position.
Retracting an instrument of accession is a highly unusual and the motivation behind the step was unclear. Since the blog posting, still nobody is able to offer even a beginning of an explanation for the step.
A rare step nonetheless
Prof. Masahiko Asada of the Graduate School of Law at Kyoto University responded to the blog posting by pointing out that there are in fact precedents involving the withdrawal of an instrument of ratification before the entry into force of a treaty. He specifically pointed to the 1995 UN Fish Stocks Agreement. Italy and Luxembourg ratified it in 1999 and 2000 respectively. Both countries withdrew their instruments ratification and re-ratified it in 2003 along with other European Union (then still the European Communities) members with declarations.
He also referred me to a publication prepared by the Treaty Section of the UN Office of Legal Affairs, Summary of Practice of the Secretary-General As Depositary of Multilateral Treaties. Section H (p. 47) describes circumstances and gives more examples:
157. A State that had deposited an instrument of ratification or of a similar nature may subsequently decide to withdraw its instrument. The Vienna Conference on the Law of Treaties did not address this question. The practice of the Secretary-General has been to allow such a withdrawal until the entry into force of the treaty, on the understanding that, until that time, States are not definitely bound by the treaty.
158. In some cases, States that had thus withdrawn an instrument subsequently deposited a new instrument, but this time with reservations. In this manner, they were in compliance with the rule according to which reservations must be made at the time of deposit of the instrument (see para. 204). Thus, for example, the Government of Greece, which on 6 December 1950 had deposited an instrument of acceptance of the Convention on the Intergovernmental Maritime Organization of 6 March 1948, withdrew that instrument on 26 March 1952 (before the entry into force of the Convention, which took place on 17 March 1958), but reaccepted the Convention on 31 December 1958, with a reservation. And the Government of Spain, which on 29 July 1958 had deposited an instrument of accession to the Customs Convention on the Temporary Importation for Private Use of Aircraft and Pleasure Boats, and Protocol of Signature, signed at Geneva on 18 May 1956, withdrew the said instrument on 2 October 1958 (before the entry into force of the Convention, which took place on 1 January 1959) and then deposited a new instrument with a reservation.
So, while there have been a few withdrawals of instruments of ratification, countries seem to have taken this step (1) when the treaty had not yet entered into force for anybody; and (2) possibly with the intention to re-ratify at a later stage but with the addition of reservations.
Palestine’s action does not seem to fit this practice.
First, none of the treaties in the examples concern international security or weapon control.
Second, Article XXII of the CWC stipulates that ‘The Articles of this Convention shall not be subject to reservations’. In other words, Palestine cannot retract its instrument of accession with a view of re-submitting it with a reservation. It could, however, express some reservations with respect to the annexes to the CWC provided these are not incompatible with the object and purpose of the convention.
Third, the UN Office of Legal Affairs also noted that ‘the withdrawal of instruments is accepted until the entry into force of the corresponding treaty’ (para. 159). The CWC has now been in force for over 20 years.
The UN Office of Legal Affairs primarily assessed the implications of such withdrawal on when a treaty takes legal effect. It did not delve into the question of withdrawal of accession. Yet, it seems to have left the door open for scenarios involving accession or succession (implying that the treaty would already have entered into force) when it referred to ‘instrument of ratification or of a similar nature‘. However, the lack of concrete examples may suggest that UN Secretary-General Guterres’ acceptance of the Palestinian retraction may yet have set a precedent in international legal history.
Answers? Questions! Questions? Answers!
Literally nobody has an explanation for Palestine’s withdrawal of its instrument of accession or an idea what the Palestinian Authority’s next move might be.
Senior staff within the Technical Secretariat of the Organisation for the Prohibition of Chemical Weapons (OPCW) were as confounded as anyone else. This puts to rest my benign suggestion that the OPCW might have alerted the UN Secretary-General to possible complications of Palestine joining the CWC without any formal preparations. No such steps or similar types of communication were undertaken.
Representatives from CWC states parties expressed similar surprise. One rumour circulating in The Hague suggested that Egypt had persuaded the Palestinian Authority in Ramallah to withdraw from the treaty. However, as one ambassador from a Western country told me, ‘this is all what it is, a rumour’. Some persons pointed to the prospect of US financial retaliation (which I explained, but discounted in the original blog posting), but nobody heard an American official even suggest such a possibility.
A former Arab ambassador reached out to colleagues and friends in the Middle East. He replied that nobody was able to provide answers to my questions. Palestinians reached out to the Authority and Palestinian diplomats in disarmament capitals, but again the answer was that ‘no one either knows or wants to talk about it’.
No explanation as to why Palestine withdrew its instrument of accession to the CWC is forthcoming at present. The questions raised in my initial blog posting remain open. Particularly vexing is: why the CWC, and not also one of the 54 other treaties that Palestine has joined over the past three years?
I would like to thank Prof. Masahiko Asada for having pointed me to the broader context of withdrawal of instruments of ratification. My great appreciation also goes to research colleagues and present and former diplomats who brought me in contact with relevant personalities and/or have tried to receive answers from relevant policy makers and implementers.
[Cross-posted from The Trench]
Something really remarkable happened in the first two weeks of 2018. On 2 January, quite out of the blue came the notification by UN Secretary-General António Guterres that the State of Palestine had deposited its instrument of accession to the Chemical Weapons Convention (CWC). It was to become the 193rd state party on 28 January, thirty days after having submitted the document (29 December). Indeed, ‘was’. Guterres formally informed UN members on 11 January that Palestine had withdrawn its instrument of accession three days earlier.
States withdrawing from a disarmament or arms control treaty is extremely rare. But it does happen. North Korea, for example, left the Nuclear Non-Proliferation Treaty (NPT) in 2003. However, I do not recall having come across an instrument of accession being withdrawn after its formal deposit. (Internet searches did not yield any results either, although poor selection of search terms might be responsible for that.) The closest is the ‘unsigning’ of treaties (as the USA did with the Rome Statute of the International Criminal Court). In those cases the agreement had not yet entered into force for the country concerned.
Palestine’s initial action on the CWC did not come in isolation. Today, 16 January 2018, the Implementation Support Unit announced that Palestine had become the 180th state party to the Biological and Toxin Weapons Convention (BTWC).
Out of the blue
I have been expecting Palestine’s accession to the CWC since it attempted to attend 2014 CWC Conference of States Parties (CSP) as a non-State Party observer. I do not recollect similar efforts since then, certainly not at last November’s CSP. The attendance request caused some unease among certain participating states. However, it was denied because the Palestinian delegation had not registered before the formal deadline and the CSP had already formally approved the list of attending observers.
Palestine became eligible to join treaties on 29 November 2012 when the UN General Assembly granted it status of ‘non-member observer state’ (Resolution A/RES/67/19). According to the UN Under-Secretary-General for Legal Affairs, the upgrade from ‘observer entity’ is significant because ‘Palestine may participate in multilateral treaties to which the Secretary-General is the depositary and in international conferences convened under the auspices of the UN that are open to “all States” (the “all States” formula)’. In reality the impact is broader, as is evidenced by Palestine’s accession to the NPT in February 2015 (instrument deposited with Moscow) and the BTWC (deposit with Russia and the United Kingdom). The Holy See is the only other sovereign entity with similar status. It joined the NPT in February 1971, the BTWC in January 2002, and the CWC in June 1999.
Since the upgrade Palestine has gone trough three waves of treaty adhesion: April 2014 (15 documents), December 2014 (18 documents), and December 2017 (22 documents). The treaties in question are listed in annex below. They fall in four major areas, namely diplomatic relations; human, economic and social rights; environmental law; and humanitarian/arms control law.
Of the 22 Palestinian applications in December, the UN Secretary-General issued Depositary Notifications for 19 treaties on 2 and 3 January. The notifications included several weapon control treaties. Only the instrument of accession to the CWC was subsequently withdrawn.
Why the retraction?
Since achieving UN Observer State status in 2012 Palestine has pursued a deliberate policy of becoming a respected member of the international community by unreservedly adhering to international law. In his Master of Laws dissertation entitled Palestine’s Ratification of International Treaties – A Back Door to Independence? (Lund University, 2016), Victor Persson argued that ‘ratifying international treaties strengthens Palestine’s claim for statehood through recognition, which in turn increases pressure for independence on its occupier, Israel’.
However, the latest wave of applications may have been more impulsive than considered. On the day of the deposit of the instruments of accession the Israeli daily Haaretz claimed that US President Donald Trump’s announcement on 6 December to move the US embassy from Tel Aviv to Jerusalem prompted Palestinian President Mahmoud Abbas’ decision. The article further noted that Israel’s ambassador to the UN was holding meetings with his US counterpart to formulate a joint response to the Palestinian move. Meanwhile, the rhetoric between Washington and Ramallah has grown increasingly strident.
Focussing on the escalating conflict, three explanations for the retraction of the instrument of accession seemed possible.
First, the USA (and through it, Israel) exerted great pressure on UN Secretary-General Guterres to force Palestine to reconsider its action. However, while nobody should be surprised about consultations with him, in his role as depositary he is just an executioner. As Article 77 of the Vienna Convention on the Law of Treaties states, one of the functions of a treaty depositary is ‘Receiving any signatures to the treaty and receiving and keeping custody of any instruments, notifications and communications relating to it’. The USA could also have leaned on some of its Arab partners in the region, but given his mood and escalating anger with Washington it appears unlikely that President Abbas would have been persuaded.
Second, as noted earlier, the CWC is the only treaty for which Palestine rescinded its accession. Of all the treaties it applied to join, the CWC is the only one with a dedicated international organisation. (The International Atomic Energy Agency, which supports aspects of NPT implementation, is founded in a different document.) The USA is not loath to exercising the power of the purse to try and compel international organisations to more or less toe its line. For example, in October 2011 the board of UN Educational, Scientific and Cultural Organization (UNESCO) voted to admit Palestine as a state, which prompted Washington to cut in its annual contributions to the organisation. In April 2016 the UN Framework Convention on Climate Change (UNFCCC) accepted the Palestinian Authority as a state party, prompting a group of US Senators to demand that the UN agency be denied any further US funding.
The root of such actions lies in US Federal Law. As explained by the American Center for Law and Justice, US Public Law 101-246 (1990) provides:
No funds authorized to be appropriated by this Act or any other Act shall be available for the United Nations or any specialized agency thereof which accords the Palestine Liberation Organization the same standing as member states.
Moreover, Public Law 103-236, enacted in 1994, prohibits
voluntary or assessed contribution to any affiliated organization of the United Nations which grants full membership as a state to any organization or group that does not have the internationally recognized attributes of statehood.
According to this line of reasoning, pressure would have been exerted on Palestine to rescind its accession because of fears that the OPCW might otherwise lose over 25% of its budget.
This scenario also seems problematic. First, while the UN Secretary-General may be the CWC’s depositary, the OPCW is an independent treaty implementation organisation rather than a specialised UN agency. Second, contrary to UNESCO or UNFCCC, it is not the OPCW that invites in Palestine (or any other entity). A state automatically becomes an OPCW member as soon as the CWC enters into force for it. No single entity—another state party, the OPCW Technical Secretariat, or the UN Secretary-General—can halt or block that dynamic. Third, no US official has hinted in conversations since the Palestinian delegation attempted to officially participate in an OPCW meeting in 2014 that withholding contributions to the annual budget was an option. On the contrary, the USA has too great stakes in the successful global implementation of the CWC.
Avoidance to internationalise the Israeli–Palestinian conflict
Finally, a third possible explanation was suggested by several people from the Middle East whom I contacted: all parties involved tend to avoid internationalising the Israeli–Palestinian conflict.
Palestine’s joining the CWC could indeed have risked the opposite effect because of Israel’s widespread use of riot control agents and other irritants in the occupied territories. Any request to the OPCW to investigate such use would require clarification of the legal status of the occupied territories under international law. Only if Israel exerts full legal jurisdiction over those areas in which it uses riot control agents, it could be argued that such use is domestic and therefore part of legitimate law enforcement. Given Israel’s settlement policies, Palestine will continue to contest Israel’s jurisdiction over large swaths of land. OPCW investigators require authorisation by the state party concerned to access the site of an alleged incident. Israel, of course, is not a party to the CWC and questions would arise whether OPCW personnel can access all parts of the Palestinian territory without requiring transit approval by Israeli authorities (see also below). In addition, given the rawness of international feeling about the Israeli–Palestinian conflict, political and ideological divisions similar to the ones exposed by the debates on Syria’s CW use might split decision-making in the OPCW even further.
This hypothesis leaves open who might be the instigator of the pressure to have Palestine withdraw its instrument of accession and which diplomatic channels might have been used. It also ignores the various options—many of which could and would be devised within the treaty framework once issues are formally raised—available under the CWC to address any specific threats posed by CW to a state party. Indeed, similar legal and political questions have already been considered in connection with Palestine’s accession in January 2015 to the Rome Statute founding the International Criminal Court (ICC). Even while some key players are not party to the Statute, Beti Hohler concluded her analysis of Palestinian accession as follows:
By assessing admissibility of a case, the ICC would effectively be called to assess Israel’s justice system and its capability to genuinely deal with war crimes allegations. Whilst the actual determination would be made on the basis of a specific case and the individual concerned, it cannot be overlooked that Israel in general has a well functioning legal system headed by a respected supreme court.
What is then the likelihood of an intervention by the ICC following Palestine’s accession? Besides the aforementioned legal issues, policy and political realities should also be considered. The reality is that the ICC is heavily dependent on the support of its states parties, including for any type of enforcement as well as for actually ensuring the attendance of suspected perpetrators at The Hague.
In conclusion, the impact of Palestine’s accession to the ICC and what will be its political implications for the Middle East peace process remains to be seen. There are at the moment far more questions than there are clear-cut answers.
One thing however is certain: with Palestine’s accession to the Statute, the legal framework has changed and the parties to the conflict would be wise to accept and respect that.
A more benign explanation for the retraction of accession?
Did you know that the CWC contains 42 instances of situations that will legally affect states parties or require actions that they must complete within 30 days? One example is that the treaty enters into force for a new state party 30 days after the deposit of the instrument of ratification or accession (Article XXI, 2). Another one is that a new state party must submit a series of detailed declarations not later than 30 days after the CWC enters into force for it.
Given that President Abbas seems to have decided to take action on accession in retaliation for the announced move of the US embassy to Jerusalem, did the Palestinian government fully appreciate the level of preparations joining the CWC requires? The country may lie in an active conflict zone, but it is hardly a Syria that would justify consideration of exceptional measures.
Other countries with internal or cross-border conflicts have become member of the OPCW. However, the process takes time. It often involves regional organisations and other states parties facilitating or supporting interactions, providing concrete assistance with legal and practical preparations, teaching and training officials as well as reaching out to key stakeholder communities (including parliamentarians, industry, academia, or any other constituency whose activities could be affected by the treaty) to build political support and capacity. Expert staff from the OPCW Technical Secretariat may already be involved in the concrete preparations to meet the treaty requirements within the set deadlines well before a state becomes a party. In fact, the deposit of the instrument of accession may be timed in function of milestones achieved.
Palestine would face an additional major legal and practical problem: how and where would inspectors enter or exit its territory? First, the Palestinian territories are non-contiguous. Second, the Palestinian Authority does not control all of the Palestinian territory, which means that it would have to special arrangements with Hamas who controls the Gaza strip. However, while a border crossing with Jordan could conceivably be designated as the CWC-required Point of Entry/Point of Exit (Verification Annex, Part I ‘Definitions’, para. 24), the Gaza strip is completely surrounded by Egypt and Israel, two non-states parties. Reaching it over land from the West Bank, by air or via a sea port would likely involve Israel one way or another.
So, a benign explanation might hold that the OPCW alerted the UN Secretary-General or regional states parties to the host of practical problems the unexpected application would pose for Palestine.
Perhaps persuasion might not have been all that difficult. In the afore-cited dissertation, Victor Persson points to the possible role of another significant domestic factor in the process:
due to the current suspension of the parliament, Palestine must choose either to postpone the implementation process or implement the treaties by presidential decree. Postponing the implementation would raise doubts on Palestine’s commitment to follow its new international obligations. Implementing international law by presidential decree on the other hand is an undemocratic legislative procedure.
That dilemma does not even begin to address the complexity of CWC implementation.
At present it is not at all clear why Palestine retracted its accession to the CWC. The immediate explanations—different types of diplomatic pressure by different actors or prevention of internationalising the conflict with Israel—do not answer why the CWC is the only one out of more than 50 treaties that suffered this fate. The observation that the convention is the only international agreement to be served by its own international organisation offers few grounds to assume that the OPCW would be exposed to financial coercion.
An alternative explanation is that the Palestinian authorities have withdrawn the instrument of accession after having been informed of the complex ramifications of becoming a party to the CWC. The impulsiveness of the initial decision in the wake of the US announcement to move the embassy to Jerusalem seems to support this hypothesis. However, this line of thought still requires confirmation on the ground, whether in the Middle East, New York or The Hague.
Annex: Palestine’s waves of treaty adhesion
The first wave (April 2014)
- Vienna Convention on Consular Services
- Vienna Convention on Diplomatic Relations
- The Vienna Convention on the Law of Treaties
- Convention on the Elimination of All Forms of Discrimination against Women
- Convention on the Rights of the Child and the Optional Protocol to the Convention on the Rights of the Child (on the involvement of children in armed conflict)
- Convention on the Rights of Persons with Disabilities
- International Convention on the Elimination of All Forms of Racial Discrimination
- International Convention on the Suppression and Punishment of the Crime of Apartheid
- International Covenant on Civil and Political Rights
- International Covenant on Economic, Social and Cultural Rights
- UN Convention against Corruption
- Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment
- Convention on the Prevention and Punishment of the Crime of Genocide
- Geneva Conventions of 12 August 1949 and Additional Protocols
- Hague Convention (IV) respecting the Laws and Customs of War on Land and its annex: Regulations Concerning the Laws and Customs of War on Land
The second wave (December 2014)
- Convention on the Political Rights of Women
- Convention on the Recognition and Enforcement of Foreign Arbitral Awards
- Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal
- Convention on Biological Diversity and the Cartagena Protocol on Biosafety to the Convention on Biological Diversity
- Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of Non-International Armed Conflicts (Protocol II)
- Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Adoption of an Additional Distinctive Emblem (Protocol III)
- Convention on the Law of the Non-Navigational Uses of International Watercourses
- Convention on the Prevention and Punishment of Crimes against Internationally Protected Persons, including Diplomatic Agents
- United Nations Convention against Transnational Organized Crime
- Convention on the Safety of United Nations and Associated Personnel and the Optional Protocol to the Convention on the Safety of United Nations and Associated Personnel
- United Nations Convention on the Law of the Sea
- Convention on the Non-Applicability of Statutory Limitations to War Crimes and Crimes against Humanity
- Agreement on the Privileges and Immunities of the International Criminal Court
- Rome Statute of the International Criminal Court
- Declaration in accordance with the Rome Statute of the International Criminal Court
- The Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons
- The Treaty on the Non-Proliferation of Nuclear Weapons
- Convention on Cluster Munitions
The third wave (December 2017)
- International Convention for the Suppression of Acts of Nuclear Terrorism
- Convention on the Physical Protection of Nuclear Material
- Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides International Trade
- Stockholm Convention on Persistent Organic Pollutants
- The Convention for the Protection of the Mediterranean Sea Against Pollution
- The Convention on the Prohibition of Military or Any Modification Techniques (Environmental Modification Convention or ENMOD)
- Optional Protocol to the Convention against Torture and other Cruel, Inhuman or Degrading Treatment or Punishment
- Chemical Weapons Convention
- Protocol for the Prohibition of the Use in War of Asphyxiating, Poisonous or Other Gases, and of Bacteriological Methods of Warfare (Geneva Protocol)
- Biological and Toxin Weapons Convention
- Anti-Personnel Mine Ban Convention
- Remnants of War additional protocol one (CCW APV 2006)
- Arms Trade treaty
- United Nations Convention on Contracts for the International Sale of Goods
- Single Convention on Narcotic Drugs of 1961 as amended by the 1972 Protocol
- Convention on Psychotropic Substances of 1971
- United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic Substances of 1988
- United Nations Convention to Combat Desertification
- The Convention on International Transport of Goods Under Cover of TIR Carnets
- Protocol on the Sale of Children, Child Prostitution and Child Pornography
- Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime
- The Amendment to article 8 of the Rome Statute of the International Criminal Court
(As an aside, the Treaty on the Prohibition of Nuclear Weapons intriguingly does not figure in the latter list, even though Palestine signed it when it was opened for signature on 20 September 2017.)
More complex than imagined
Last November, during the 8th Review Conference of the Biological and Toxin Weapons Convention (BTWC), the Fondation pour la Recherche Stratégique (FRS) in cooperation with the United Nations Institute for Disarmament Research (UNIDIR) organised a tabletop exercise on the implementation of the BTWC’s Article VII, which provides for emergency assistance in case a State Party Party has been exposed to danger as a result of a treaty violation.
The Trench has already provided an account of the two-day workshop.
Today, the FRS has published the final report, edited by Jean Pascal Zanders, Elisande Nexon and Ralf Trapp, with recommendations for consideration by the States Parties.
The tabletop exercise aimed to understand better the elements that would have to be in place to trigger Article VII and the consequences such action may have on the organisation of international assistance. Moreover, the tabletop exercise also aimed to achieve a deeper appreciation of the unique contribution of the BTWC in addition to the expected assistance efforts by international organisations, relief associations and individual countries. It put into sharper relief certain questions BTWC States Parties will have to address even before the first item of assistance is shipped to the disaster area. Failing to do so, the tabletop exercise suggested that States, depending on their individual assessment of the risks following the outbreak and the cause of the epidemic, may decide on totally different courses of action, an outcome that might severely hamper the international coordination of efforts to stem the outbreak and assist victims.
The report offers 12 conclusions and recommendations for future consideration.
The Ministry for Europe and Foreign Affairs of France and the Foreign and Commonwealth Office of the United Kingdom financially supported the project.
[Cross-posted from The Trench]
Building A WMD-Free Zone on Existing Treaties and Conventions Syrian CWC-Adherence and Reactions, Especially in IsraelPosted: May 8, 2017
[Cross-posted from The Trench.]
Speaking notes for the side event to the 2017 Preparatory Committee of the Nuclear Non-Proliferation Treaty (NPT), organised by the Geneva Centre for Security Policy (GCSP) and Academic Peace Orchestra Middle East (APOME), Vienna, 8 May 2017.
It builds on and updates an earlier posting of 13 March 2015.
Operation of the CWC in the Middle East
- As of 1 May 2017, the Chemical Weapons Convention (CWC) comprises 192 states parties. The CWC entered into force 20 years ago, on 29 April 1997. It has the largest number of parties of any weapon control treaty.
- Four states, including two from the Middle East, are still outside the convention: Egypt, Israel, North Korea and South Sudan. (Israel did sign but not ratify the convention.)
- Given the armed conflicts in different parts of the Middle East, the Organisation for the Prohibition of Chemical Weapons (OPCW) has intervened in Syria and Libya to secure declared chemical weapons (CW) and have them destroyed in other parties to the CWC so as to prevent their use by any one of the belligerents in either country. The Libyan operation took place in August 2016. It drew on the precedent set by and experience gained from the evacuation of chemicals from Syria.
Situation in Syria
- Syria acceded to the CWC on 14 September 2013 and formally became a state party on 14 October. This was the outcome of a framework agreement on the elimination of Syria’s chemical warfare capacities between Russia and the United States reached in Geneva on 14 September.
- Since Syria’s accession to the CWC the OPCW has:
- verified the destruction of 24 of the 27 CW production and storage facilities. Lack of safe access has prevented inspectors from destroying one final aircraft hangar and confirming the condition of two stationary above-ground facilities.
- overseen the evacuation and complete destruction of all declared chemical chemicals (precursors to nerve agents and mustard agent) for a total of about 1,300 metric tonnes. It also verified the destruction of declared delivery systems.
- However, there remain several outstanding issues, including the OPCW’s inability to confirm the destruction of 200 metric tonnes of mustard agent in March 2013 (i.e. about 6 months before Syria’s accession to the CWC), the discovery of nerve agent traces in locations not declared by the Syrian government, and the later discovery of an undeclared ricin production facility.
- Furthermore, since Syria’s accession there have been multiple incidents involving the use of toxic chemicals as weapons, mostly chlorine. On 4 April an attack with the nerve agent sarin took place against the city of Khan Sheikhoun, the first such use since the sarin strike against Ghouta in August 2013. At the time of writing it is unclear whether the sarin was prepared from undeclared volumes of precursor chemicals or whether Syrian scientists and engineers produced a batch from scratch.
- The Islamic State in Iraq and the Levant (ISIL) has been responsible for some isolated attacks with chlorine and mustard agent in Syria and Iraq. This has created new challenges for the OPCW in terms of investigating and responding to the alleged events. Indeed, these incidents mostly involved the use by a non-state actor against another non-state actor on the territory of a state party to the CWC that is not under the control of that state party.
- The Fact-Finding Mission (FFM) of the OPCW has confirmed repeated CW use in Syria. The UN Security Council established the OPCW-UN Joint Investigative Mission (JIM) to attribute responsibility for the chemical attacks. JIM has thus far held the Syrian government responsible for three attacks and ISIL for one. Its investigation is ongoing.
Responses from within the Middle East
- Iran is a strong backer of the Syrian leader Bashar al-Assad. Having been a victim of chemical warfare during the 1980–88 Iran-Iran war, it strongly condemns chemical warfare. However, it denies the Syrian government’s responsibility for the CW attacks since August 2013 and instead blames insurgent factions. It follows the arguments laid out by Russia (and to a lesser extent by China) and plays an active role in the decision-making processes relating to the technical assessments prepared by the FFM in the Executive Council of the OPCW.
- Some government officials, politicians or commentators both inside and outside the Middle East have made rather wild allegations (without any factual substantiation of these political statements) that other external parties to the civil war supply belligerents with the materials for chemical warfare. Iran has been named as a supplier of the Syrian government; uncontrolled stockpiles in Libya might be transferred to various belligerents in Syria.
- Attribution of responsibility for the CW attacks has been accompanied by claims that neighbouring states are responsible for supplying or facilitating the transfer of chemicals and equipment to belligerent factions they support. Since with the exception of Israel all neighbouring states are parties to the CWC, the claims are tantamount to an accusation against such states of a material breach of the convention.
- The current Israeli government has long maintained that Syria has never given up its entire CW capacity since joining the CWC. The difficulties for the OPCW to close the Syrian disarmament dossier tend to reinforce Israel’s deep-rooted pessimism about the ability of international weapon control treaties to guarantee its national security. Israeli attitudes towards Iran, which include conviction of Tehran’s non-compliance with the CWC, appear to be bolstered by Iran’s on-the-ground military support for Syria and Hezbollah in both Lebanon and Syria and its interventions in the OPCW Executive Council.
- Over the past two decades the CWC has contributed much to the removal of the spectre of chemical warfare, particularly in the Middle East. Addressing specific challenges in Syria and Libya, the states parties to the convention have demonstrated adaptability, flexibility and willingness to support financially or materially the extraordinary disarmament efforts in the field. As a result, the treaty regime has evolved considerably with respect to meeting challenges unforeseen by the CWC negotiators.
- However, the unrelenting use of toxic chemicals as a weapon of warfare in Syria fundamentally challenges the CWC’s most basic premise to never under any circumstance use CW. Furthermore, backing of belligerents by outside parties (all of whom have joined the CWC) is increasingly tending towards a violation of the prohibition to never under any circumstances to induce, in any way, anyone to engage in any prohibited activity (Article I ‘General Obligations’).
- Syria’s inability or unwillingness to resolve all outstanding issues with regard to its CW programmes also challenges the integrity of the CWC and the OPCW’s operational procedures. Factual findings are becoming more and more politicised (often driven by ulterior geopolitical motivations), making consensus-based decision-making increasingly difficult.
- Since the 2nd World War all major occurrences of chemical warfare (with the exception of US use of herbicides and riot control agents in Indochina in the 1960s and early 1970s) have taken and are taking place in the Middle East. All these instances of CW use in the Middle East involved Arab regimes and have targeted fellow Arabs, Muslims or their own population. None were ever launched against Israel.
- Compared with the question of regional nuclear disarmament, which directly involves Israel, Arab countries have despite the history of chemical warfare in the region remained remarkable indifferent to the many uses of chemical weapons. For instance, not a single member of the Arab League contributed financially or materially to the disarmament operations in Syria or Libya.
Commemoration of the 20th Anniversary of the Entry into Force of the Chemical Weapons Convention (The Hague, 26 April 2017)
Collection of speeches
- Welcome address by Ambassador Ahmet Üzümcü, Director-General of the OPCW
- Video message by Mr António Guterres, Secretary-General of the United Nations
- Address by Mr Bert Koenders, Minister of Foreign Affairs, The Netherlands
- Address by Crown Princess Victoria of Sweden
- Address by Mrs Pauline Krikke, Mayor of The Hague
- Address by Ambassador Dr Christoph Israng, Chairperson of the Conference of the States Parties
Some photographic impressions
[Cross-posted from The Trench]
On 2 April I described how non-payments by states parties were defunding the implementation of the Biological and Toxin Weapons Convention (BTWC) and risking to shut down the 3-person Implementation Support Unit (ISU) and the convening of meetings. A couple of weeks earlier the Ambassadors of the three Depository States – the Russian Federation, United Kingdom and United States – had written an urgent letter to the BTWC States Parties to immediately comply with their financial obligations.
Since then, the situation has ameliorated somewhat. The contracts of the ISU staff have now been extended until the end of the year. But the crisis is far from over. When I wrote my blog posting, the deficit for the BTWC stood at US$ 379,557. According to the latest update on the financial situation (31 March) this figure has been reduced to US$ 188,631.
One county stands out in this dossier: Brazil. As reported in the earlier blog post, it owed the BTWC US$ 298,459 or 78.6% of the total deficit of the BTWC. With the exception of 2011 it has defaulted on its financial obligations or paid its dues only partially since 2001. That figure has not changed, which means that its debt now exceeds the current budgetary shortfall. It exceeds the combined outstanding debt of all other states parties.
The combined outstanding debt for four weapon control agreements administered by the UN Office for Disarmament Affairs in Geneva – the BTWC, Convention on Cluster Munitions (CCM), Convention on Certain Conventional Weapons (CCW), and Anti Personnel Landmine Convention (OTW) – amounts to a staggering US$ 929,112. Brazil’s share is US$ 652,657 or 70%.
Civil society rears it head
Civil society is now taking up the issue. Mary Wareham, advocacy director of the Arms Division of Human Rights Watch, has engaged Brazilian officials directly. In a Twitter exchange she elicited from Mr Benoni Belli, Policy Planner at Brazil’s Foreign Ministry, that ‘other payments will be made this year‘. Promising indeed, but promises unfortunately do not alleviate the financial problems.
The civil society platform Friends of the Biological Weapons Convention, coordinated by Kathryn Millett, has now also taken up the issue. Yesterday it posted an appeal to its Facebook page and announced the launch of an action campaign to prompt Brazil and other states to pay their assessed contributions:
On 31 March, the UN Financial Resources Management Service released a summary of the status of financial contributions to four disarmament conventions – the BWC, the Convention on Cluster Munitions, Convention on Certain Conventional Weapons and the Mine Ban Treaty.
The summary (which updated an earlier summary dated 28 Feb) demonstrated that 3 of the 4 treaties were owed almost $1 million USD by states parties in unpaid assessed financial contributions. The BWC alone is owed almost $190K by its member states.
The significance of these debts cannot be overstated. New UN financial rules mean that meetings cannot take place nor can staff contracts be renewed unless the money is already in the bank. To that end, an extraordinary letter from the BWC co-depositories (Russian Fed, USA & UK) dated 21 March was sent to all states parties urging them to pay up or risk the possibility of a) not being able to renew ISU contracts past April 2017, and b) cancellation/curtailment of the 2017 Meeting of States Parties (MSP) scheduled for December.
While the BWC is hosted by the UN Office for Disarmament Affairs, it is NOT an UN treaty and therefore cannot take advantage of central UN funds or reserves, nor is there a working capital fund like at the OPCW, which can be used to cover temporary financial shortcomings. In short, the BWC is fully dependent on states parties paying their dues in a timely fashion. If states do not, meetings will not happen and staff cannot work to administer the treaty.
That BWC ISU staff contracts have now been renewed until the end of the year is a very welcome development, but does not mean the BWC is out of the woods yet: the BWC does not have sufficient funds to cover the costs of the MSP in December.
Following the failure of the BWC Eighth Review Conference to achieve any meaningful progress in strengthening the convention, a successful MSP in December is more critical than ever to the continued health and relevancy of the treaty. This unsatisfactory situation is further compounded by the rise in use of non-conventional weapons by both states and non-state actors as evidenced by the situation in Syria. The norm of the Chemical Weapons Convention (the BWC’s sister convention) is under threat by the continued instances of the use of sarin and chlorine as weapons of war. The use of banned conventional weapons in warfare such as cluster munitions and landmines is also on the increase. Disarmament treaties are under threat and states parties must act to positively reinforce the norms against the use of banned weapons.
So – what can be done?
Civil society across disarmament domains will be writing letters to states that are the most significantly in arrears (such as Brazil). Please do consider signing these letters (we will post the letter here from the BWC community) and also check directly with your country’s Ministry of Foreign Affairs on the status of their payments. If they haven’t paid their contributions, call/ email them demanding that they do so. Contact your country’s mission in Geneva and ask them what they are doing to remedy their debts. Make a noise on twitter.
If you would like more information on this situation as it progresses, please send a private message and we will get back to you. You can also read more on the issue here:
– JP Zanders, Pay up in the name of BW disarmament: http://www.the-trench.org/pay-up-in-the-name-of-bw-disarma…/
– G Koblenz & P Walker, ‘Can Bill Gates rescue the bioweapons convention?’, http://thebulletin.org/can-bill-gates-rescue-bioweapons-con…
Thank you all for your kind attention and for any action you can also undertake to remedy this situation. The latest UN financial summary can be found here: http://bit.ly/2pLJ1DA
http://bit.ly/2pLJ1DA.It was a remarkable act. On 21 March the Permanent Representatives to the UN Conference of Disarmament of the three co-depositories of the Biological and Toxin Weapons Convention (BTWC)—the Russian…the-trench.org
Time to act is now
Today, 22 April 2017, is the 102nd anniversary of the first modern chemical weapons attack. Chlorine is still a weapon of choice in the wars in Syria and Iraq. In both countries we have seen escalation to mustard and nerve agents. The Chemical Weapons Convention, which is as strong as a weapon control treaty gets today, is facing huge challenges to restore the basic principle of non-use under any and all circumstances. Not technical challenges, but as a consequence of the pursuit of geopolitical priorities by some key players…
While great civil society optimism is currently pushing many UN members to negotiating a ban on nuclear weapons, existing weapon control treaties are facing daily challenges. Some states are eroding value of these treaties as armed conflicts appear interminable; in other cases they simply fail to pay their dues, which undermines the tools to uphold the international norms embedded in those agreements. We simply cannot afford a breakdown in those regulatory regimes!
To this end, any stakeholder (professional or scientific association, academia), civil society organisation, or individual who wishes to preserve the four afore-mentiond international instruments to prevent of mitigate the consequences of armed conflict – the BTWC, CCM, CCW, and OTW – should contact Mary Wareham or Kathryn Millett to see how they can participate in letter campaigns or other initiatives under development.
[Cross-posted from The Trench]
It was a remarkable act. On 21 March the Permanent Representatives to the UN Conference of Disarmament of the three co-depositories of the Biological and Toxin Weapons Convention (BTWC)—the Russian Federation, United Kingdom and United States—wrote to their colleagues in Geneva to address the question of ‘assessed financial contributions to the Convention’. The matter is extremely urgent:
We have been informed that the funding currently available will only allow the [Implementation Support Unit – ISU] staff to have their contracts extended until end of April 2017. We, therefore, urge all States Parties to the Convention to pay their assessed contributions as soon as possible and to settle their arrears without delay. Without the prompt resolution of this issue, the structures and decisions agreed upon just a few months ago at the Eighth Review Conference will be in serious jeopardy.
But the lack of funding could spell trouble for the BTWC process too:
With respect to the Meeting of States Parties scheduled for December 2017, States Parties are kindly reminded that sufficient funds must be received in advance in order for the meeting to be organized as scheduled. The financial situation will be monitored regularly and a decision will need to be made three months prior to the meeting as to whether or not it can be held as planned.
For those in Geneva closely monitoring the health of the BTWC, the issue of non-payments is not new, but acquired greater urgency throughout 2016 to the point that the 8th Review Conference last November discussed the matter several times during the three-week meeting. As stated in the final document (p. 22, §12):
The Conference notes that, under new UN financial procedures, funds must be available before meetings can be held. The Conference requests States Parties to proceed with the payment of their share of the estimated costs as soon as the assessment notices have been received from the United Nations to help ensure that the meetings can be held as scheduled.
Not just the BTWC
The issue is not unique to the BTWC. Merely a few weeks before the 5th Review Conference of the Convention on Certain Conventional Weapons (the so-called Inhumane Weapons Convention or CCW) was due to take place (12–16 December 2016) people were in despair whether it could be held at all. The CCW ISU even had to organise two informal briefings chaired by the President-designate on 8 and 14 November 2016 to discuss the financial challenges. As the CCW ISU wrote in its report covering the previous intersessional period:
An issue of significant importance in 2016 is the timely payment by States of their financial obligations under the framework Convention, Amended Protocol II and Protocol V to which they are High Contracting Parties, or meetings and conferences in which they participate as States not parties (observers). This has ended up being a major area of work for the ISU. The existing United Nations Financial Rules and Regulations have always required that funds are received in advance of incurring expenditures such as the organising of meetings and conferences under the CCW and the salary costs for the two ISU staff members. Recent financial accountability initiatives including the introduction of International Public Sector Accounting Standards (IPSAS) and the introduction of the new Enterprise Resource Planning (ERP) system, Umoja, are bringing greater transparency as well as stricter enforcement of these rules and regulations. These initiatives will no longer allow the Secretariat to convene a meeting or renew contracts of staff members, unless the necessary cash has been received in advance and previous arrears are paid in full.
This document also detailed the resource burden the arrears place on the small ISU (2 persons) and UN Office of Disarmament Affairs (UNODA):
UNODA, the Financial Resources Management Service (FRMS) of the United Nations Office at Geneva (UNOG) and the ISU are working together to address the current financial situation. Letters were dispatched to States reminding them of their outstanding dues, comprising their 2016 assessed contributions and past unpaid arrears. The ISU directly contacted States, updated the website on the status of contributions and facilitated the sending of messages on behalf of the President-designate on the financial crisis concerning the Review Conference. In addition, the High Representative for Disarmament Affairs, Mr. Kim Won-Soo, has brought this matter to the attention of the UN Member States in his statement at the UNGA’s First Committee and sent letters to all those States with outstanding dues.
In a letter similar to the one addressed to BTWC states parties dated 1 March, the UK’s Permanent Representative in his capacity of Chairperson-elect of the 2017 CCW Meeting urged states parties to meet their financial obligations:
Any outstanding arrears and the 2017 assessed contributions for the CCW must be received as soon as possible in order to ensure the continuity of the CCW Implementation Support Unit (ISU), particularly its staff members. Currently the funding available will only allow the ISU staff to have their contracts extended until the end of April 2017.
Blame it on Umoja …
The financial troubles affecting the implementation of multilateral disarmament and arms control treaties are not new. However, it is striking how last year they almost brought the work of agreements administered by the United Nations to a screeching halt. For treaties whose implementation is overseen by bodies outside the UN system, parties had to adopt specific measures to coax states into paying their arrears. The Organisation for the Prohibition of Chemical Weapons (OPCW), having faced similar challenges for several years, has adopted multi-year payment plans. It can also coerce a recalcitrant member into paying by taking away its voting rights. Or by less formal measures … For instance, last year an ever louder suggestion circulated that the Technical Secretariat would no longer consider hiring Brazilian nationals until the country had fulfilled all its financial obligations. (On Brazil, more below.)
The United Nations adopted an organisation-wide resource planning system, which takes care of all staff and financial administration, including record-keeping, workflow and communications, as well as any activities undertaken by UN agencies. It controls the work of any UN operative even in the most far-flung places on this planet. Commonly known as Umoja—Swahili for ‘united’—it is former UN Secretary-General Ban Ki-moon’s brainchild. It was rolled out in November 2015 but the inevitable growing pains became an immediate source of intense frustration among UN staff. As UN connoisseur Colum Lynch noted in Foreign Policy half a year later, the software required several years of development work at a cost of over $400 million. Still, he reported that because of the chaos it created people could go without pay for several months (a claim disputed by a UN spokesperson) and that the UN was struggling with outside contractors.
Umoja also places full administrative responsibility with the individual, irrespective of the person’s job description. There is little room for delegation or functional specialisation. Data input for the simplest of tasks, e.g. registering a travel mission, requires several pages of input. Organising a seminar halfway across the world against a tight deadline can be even more challenging, particularly if mandatory minimal bureaucratic timelines cannot be met. The slightest mistake blocks the whole process; a software glitch that fails, for example, to connect administration with finance to release the required funds can take many hours, if not days to locate people not just in the building where one works, but also at one’s destination. And when things seem to get arranged in Geneva, somebody in New York can still override the whole process, and without notification or explanation make different and unasked arrangements that suit nobody and end up costing a lot more. Of course, by the time such an intervention is nullified, original arrangements have been cancelled.
Umoja indeed concentrates a lot of bureaucratic power in New York, but has made administrative responsibility diffuse. Today people claim that Umoja works much more smoothly than in 2016. One may wonder whether this is the case, or whether UN staff is falling prey to some bureaucratic variant of the Stockholm syndrome.
But let us not digress too far. The core point concerning the rigidity imposed by Umoja is that even the smallest expense must have a specific budget line. Insufficient budgetary provision automatically entails that no money can be expended. Given the interconnectedness of all elements in Umoja’s process flow, the organisation of a meeting will therefore be automatically blocked.
… but it is really an individual responsibility of states parties
US$ 379,556.66. That is the deficit the BTWC was facing on 28 February. The budgeted expenditure for 2017 amounts to $1,109,500. Over one third of the money due has not yet been paid into the accounts. As the tables prepared by UNODA show, the nature of the deficit is even more hallucinating. Some arrears go as far back as 2001, year of the 5th Review Conference!
For the current year the deficit appears less dramatic at first sight: just under $27,000. In reality, however, the UN received only $759,796 in contributions. The remaining $322,767 comprises overpayments from states parties, money that in principle the UN ought to refund at the end of the year (i.e. 2016).
Thirteen out of 178 states parties owe UNODA money in excess of $10,000 (See Table 1). An additional 32 states are between 1,000 and $10,000 in arrears. The majority—107 states parties—have negative balances of less than $1000, of which 51 owe less than $100.
Twenty-six countries have paid a combined $322,767 in excess of what is due. In all but 8 cases the overpayment amounts to less than $1,000 and in many instances to less than $100. The overpayment by two countries stand out: the USA ($249,491 or 77.3%) and Saudi Arabia ($57,711 or 17.88%).
Table 2 shows that in seven cases the outstanding money is for 2017 only. A quick glance at the comprehensive table prepared by UNODA indicates this is also the case for many other countries.However, the responsibility of one country for the financial crisis is overwhelming: Brazil owns 78.6% of the total deficit of the BTWC. With the exception of 2011 it has defaulted on its financial obligations or paid its dues only partially since 2001. While it is true that 16 other states also owe UNODA money from before 2015, their combined outstanding balance amounts to $75,678. (As Table 2 demonstrates, three of those countries are also listed among the states parties owing more than $10,000 and are responsible for $57,472 of that debt).
Urgent response needed
While one can easily envisage Umoja provoking computer screens to fly across offices, it still remains the responsibility of individual states parties to meet their commitments under international treaties. In fact, it is because of Umoja that the scale of the disarmament deficit could be laid out in detail. And the management tool is discretely being deployed to diplomatically name and shame recalcitrant payers.
In October 2016, a mere two weeks before the start of the 8th Review Conference, the ISU prepared the first information document on the status of assessed contributions to the BTWC from 2001 up to 21 October 2016. The total outstanding balance was then $196,964. Comparison with the table issued in February shows that many states parties promptly responded, leading to a different pattern in overdue balances. The overall sum due increased by over $80,000, but as indicated earlier, many states still have to transfer their contribution for 2017.
At first sight, the situation may not appear as dramatic as suggested in the letter by the co-depositories. However, this is where Umoja raises its head again. Received funds have to be spread over different budget lines. Some of these budget lines will not be used until a specific event takes place (e.g., document printing or interpretation for a meeting); other ones cover regular expenditure (e.g., salaries). Umoja is all but inflexible about money transfers from one budget post to another (even temporarily). So, if the budget line for salaries is not replenished in time, then the ISU staff goes without remuneration, even if money were available for documents or interpretation to bridge a temporary gap. Alternatively, even with salary cost fully funded for some months, if insufficient money is available to organise an event, such as a meeting of states parties, then that event is in jeopardy. This explains the urgency in the call for contributions. The ISU cannot draw on a working capital fund like the OPCW, which it used to cover temporary financial shortcomings, or reserves. And while the ISU is placed under UNODA, it does not belong to the core UN units. As a consequence, it cannot draw on central UN reserves or spare resources in case of a temporary shortfall. (The same goes when an ISU staff member is on sick or maternity leave: because the absentee continues to receive remuneration, no other person can be hired on the same budget line and the ISU cannot draw on a central pool of UN staff resources.)
Looking at how the OPCW addresses unpaid dues by states parties, it is clear that Umoja imposes bureaucratic rigidity and limits human initiative. Yet, in all likelihood adaptation of the way in which the BTWC is administered will alleviate, if not resolve the current financial anxieties. Still, this does not absolve the responsibility of individual states parties to pay their dues in time.
Brazil bears an overwhelming responsibility for the current crisis: it owns more than three-quarters of the overall deficit of the BTWC. Its arrears go back a decade and a half. This is not the consequence of a single incident or forgetfulness. The period in question covers moments of more than average GDP growth as well as the recession of the past two years. The problem manifests itself is different disarmament and arms control forums, including the OPCW. Last summer Brazilian officials indicated publicly and privately that money was being made available to address this deficit of the BTWC. However, comparing the UNODA tables presented in October 2016 and February 2017 reveals no reduction in the outstanding balance. Quite on the contrary.
It will be up to the BTWC states parties and the highest political level in the United Nations to bear pressure on Brazil to resolve this matter urgently.