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[casi] 1409 full text



The full text of resolution 1409 (2002) -– to
which is attached a list of revised procedures
for implementation -– reads, as follows:



      “The Security Council,



      "Recalling its previous relevant
resolutions, including resolutions 986 (1995) of
14 April 1995, 1284 (1999) of 17 December 1999,
1352 (2001) of 1 June 2001, 1360 (2001) of 3
July 2001, and 1382 (2001) of 29 November 2001,
as they relate to the improvement of the
humanitarian programme for Iraq,



      "Convinced of the need as a temporary
measure to continue to provide for the civilian
needs of the Iraqi people until the fulfilment
by the Government of Iraq of the relevant
resolutions, including notably resolutions 687
(1991) of 3 April 1991 and 1284 (1999), allows
the Council to take further action with regard
to the prohibitions referred to in resolution
661 (1990) of 6 August 1990 in accordance with
the provisions of these resolutions,



      "Recalling its decision in resolution 1382
(2001) to adopt the proposed Goods Review List
and procedures for its application annexed to
resolution 1382 (2001), subject to any
refinements to them agreed by the Council in
light of further consultations, for
implementation beginning on 30 May 2002,



      "Determined to improve the humanitarian
situation in Iraq,



      "Reaffirming the commitment of all Member
States to the sovereignty and territorial
integrity of Iraq,



      "Acting under Chapter VII of the Charter
of the United Nations,



      "1.      Decides that the provisions of
resolution 986 (1995), except those contained in
paragraphs 4, 11 and 12, and the provisions of
paragraphs 2, 3 and 5 to 13 of resolution 1360
(2001), and subject to paragraph 15 of
resolution 1284 (1999) and the other provisions
of this present resolution, shall remain in
force for a new period of 180 days beginning at
0001 hours, Eastern Daylight Time, on  30 May
2002;



      "2.      Decides to adopt the revised
Goods Review List (S/2002/515) and the revised
attached procedures for its application for
implementation beginning at 0001 hours, Eastern
Daylight Time, on 30 May 2002 as a basis for the
humanitarian programme in Iraq as referred to in
resolution 986 (1995) and other relevant
resolutions;



      "3.      Authorizes States, beginning at
0001 hours, Eastern Daylight Time, on 30 May
2002, to permit, notwithstanding the provisions
of paragraph 3 of resolution 661 (1990) and
subject to the procedures for the application of
the Goods Review List (S/2002/515), the sale or
supply of any commodities or products other than
commodities or products referred to in paragraph
24 of resolution 687 (1991) as it relates to
military commodities and products, or military-
related commodities or products covered by the
Goods Review List (S/2002/515) pursuant to
paragraph 24 of resolution 687 (1991) whose sale
or supply to Iraq has not been approved by the
Committee established pursuant to resolution 661
(1990);



      "4.      Decides that, beginning at 0001
hours, Eastern Daylight Time, on     30 May
2002, the funds in the escrow account
established pursuant to paragraph 7 of
resolution 986 (1995) may also be used to
finance the sale or supply to Iraq of those
commodities or products that are authorized for
sale or supply to Iraq under paragraph 3 above,
provided that the conditions of paragraph 8 (a)
of resolution 986 (1995) are met;



      "5.      Decides to conduct regularly
thorough reviews of the Goods Review List and
the procedures for its implementation and to
consider any necessary adjustment and further
decides that the first such review and
consideration of necessary adjustment shall be
conducted prior to the end of the 180-day period
established pursuant to paragraph 1 above;



      "6.      Decides that, for the purposes of
this resolution, references in resolution 1360
(2001) to the 150-day period established by that
resolution shall be interpreted to refer to the
180-day period established pursuant to paragraph
1 above;



      "7.      Requests that the Secretary-
General and the Committee established pursuant
to resolution 661 (1990) submit at least two
weeks prior to the end

of the 180-day period the reports referred to in
paragraphs 5 and 6 of

resolution 1360 (2001);



      "8.      Requests the Secretary-General,
in consultation with interested parties, to
submit an assessment report on the
implementation of the Goods Review List and its
procedures by the end of the next period of
implementation of resolution 986 (1995)
beginning on 30 May 2002 and to include in the
report recommendations on any necessary revision
of the Goods Review List and its procedures,
including the processing of contracts under
paragraph 20 of  resolution 687 (1991) and the
utility of the Distribution Plan as referred to
in paragraph 8 (a) (ii) of resolution 986 (1995);



      "9.      Decides to remain seized of the
matter."





Procedures

1 – The following procedures replace paragraphs
29 to 34 of document S/1996/636* and other
existing procedures, notably for the
implementation of the relevant provisions of
paragraphs 17, 18 and 25 of resolution 1284
(1999) related to the processing of applications
to be financed from the escrow account
established pursuant to paragraph 7 of
resolution 986 (1995).

2 – Each application (the “Notification or
Request to Ship Goods to Iraq,” as attached to
these procedures, hereafter referred to as “the
application,”) for the sale or supply of
commodities or products, to include services
ancillary to the supply of such commodities and
products, to Iraq to be financed from the escrow
account established pursuant to paragraph 7 of
resolution 986 (1995) must be forwarded to the
Office of the Iraq Programme (OIP) by the
exporting States through permanent or observer
Missions, or by United Nations agencies and
programmes. Each application should include
complete technical specifications, as requested
in the standard application form, concluded
arrangements (e.g., contracts), and other
relevant information, including, if known,
whether the application contains any item(s)
covered by the Goods Review List (GRL), in order
for a determination to be made on whether the
application contains any item referred to in
paragraph 24 of resolution 687 (1991) as it
relates to military commodities and products, or
military-related commodities or products covered
by the GRL.

3 – Each application will be reviewed and
registered by OIP within 10 working days. In the
case of a technically incomplete application,
OIP may request additional information before
transmitting the application to the United
Nations Monitoring, Verification and Inspection
Commission (UNMOVIC) and the International
Atomic Energy Agency (IAEA). If OIP determines
that the requested information is not provided
within 90 days, the application will be
considered supplier-inactive and no further
action on the application will be taken until
the information is provided. If the requested
information is not received within a further 90
days, the application will lapse. OIP should
notify the submitting Mission or United Nations
agency in writing of any change in the status of
the application. The OIP will identify an
official to act as a contact point on each
application.

4 – After OIP registration of the application,
each application will be evaluated by technical
experts from UNMOVIC and IAEA in order to
determine whether the application contains any
item referred to in paragraph 24 of resolution
687 (1991) as it relates to military commodities
and products, or military-related commodities or
products covered by the GRL (“GRL item(s)”). At
their discretion and subject to the approval of
the 661 Committee, UNMOVIC and IAEA may issue
guidance regarding what categories of
applications do not contain any item(s) covered
by paragraph 24 of resolution 687 (1991) as it
relates to military commodities and products, or
military-related commodities or products covered
by the GRL. UNMOVIC, IAEA and OIP, working in
consultation, may develop a procedure whereby
OIP may evaluate and approve applications that,
based on this guidance, fall within these
categories.

5 – Military goods and services are prohibited
for sale or supply to Iraq under paragraph 24 of
resolution 687 (1991) and are not subject to
review under the GRL. For consideration of dual-
use goods and services referred to in paragraph
24 of resolution 687 (1991), UNMOVIC and IAEA
should process these goods and services pursuant
to paragraph 9 of these procedures.

6 – Upon receipt of a registered application
 from OIP, UNMOVIC and/or IAEA will have 10
working days to evaluate an application as set
forth in paragraphs 4 and 5. Absent action by
UNMOVIC and/or IAEA within the 10-working-day
period, the application will be considered
approved. In the course of conducting the
technical evaluation as set out in paragraphs 4
and 5 above, UNMOVIC and/or IAEA may request
additional information from the submitting
Mission or United Nations agency. The submitting
Mission or United Nations agency should provide
the additional information requested within a
period of 90 days. Once UNMOVIC and/or IAEA
receive the requested information, UNMOVIC
and/or IAEA will have ten working days to
evaluate the application under the procedure set
forth in paragraphs 4 and 5.

7 – If UNMOVIC and/or IAEA determine that the
submitting Mission or United Nations agency has
not provided the requested additional
information within the 90-day period set out in
paragraph 6 above, the application will be
considered supplier-inactive and no further
action on the application will be taken until
the information is provided. If the requested
information is not provided within a further 90
days, the application will lapse. OIP should
notify the submitting Mission or United Nations
agency in writing of any change in the status of
the application.

8 – If UNMOVIC and/or IAEA determine that the
application contains any item referred to in
paragraph 24 of resolution 687 (1991) as it
relates to military commodities and products,
the application shall be considered ineligible
for approval for the sale or supply to Iraq.
UNMOVIC and/or IAEA will provide to the
submitting Mission or United Nations agency
through OIP a written explanation of this
determination.

9 – If UNMOVIC and/or IAEA determine that the
application contains any GRL item(s), they will
immediately inform through OIP the submitting
Mission or United Nations agency. Pursuant to
paragraph 11 below, absent a request by the
submitting Mission or United Nations agency for
reconsideration within 10 working days, OIP will
forward the application containing the GRL item
(s) to the 661 Committee for the purpose of
evaluating whether the GRL item(s) may be sold
or supplied to Iraq. UNMOVIC and/or IAEA will
provide to the 661 Committee through OIP a
written explanation of this determination. In
addition, OIP, UNMOVIC and/or IAEA, at the
request of the submitting Mission or United
Nations agency, will provide to the 661
Committee an assessment of the humanitarian,
economic and security implications, of the
approval or denial of the GRL item(s), including
the viability of the whole contract in which the
GRL item(s) appears and the risk of diversion of
the item(s) for military purposes. The
assessment provided by OIP to the Committee
should be transmitted in parallel by OIP to the
submitting Mission or United Nations agency. OIP
will immediately inform appropriate United
Nations agents of the finding of a GRL item(s)
in the application and that the GRL item(s) may
not be sold or supplied to Iraq unless otherwise
notified by OIP that the procedures set forth in
paragraphs 11 or 12 have resulted in approval
for sale or supply of the GRL item(s) to Iraq.
The remaining items in the application, which
are determined as not covered by the GRL, will
be considered approved for sale or supply to
Iraq and, at the discretion of the submitting
Mission or United Nations agency, and with the
consent of the contracting parties, will be
processed according to the procedure in
paragraph 10 below. The relevant approval letter
may be issued for such approved items under
request from the submitting Mission or United
Nations agency.

10  – If UNMOVIC and/or IAEA determine that the
application does not contain any item referred
to in paragraph 4 above, OIP will inform
immediately the Government of Iraq and the
submitting Mission or United Nations agency in
written form. The exporter will be eligible for
payment from the escrow account established
pursuant to paragraph 7 of resolution 986 (1995)
upon verification by United Nations agents that
the items in the application have arrived in
Iraq as contracted. OIP and the United Nations
Treasury will inform the banks within five
working days that the items in the application
have arrived in Iraq.

11  – If the Mission or United Nations agency
submitting an application disagrees with the
determination that an application contains an
item(s) covered by paragraph 24 of resolution
687 (1991) as it relates to military commodities
and products, or military-related commodities or
products covered by the GRL, it may request a
reconsideration of this decision, based on the
provision of technical information and/or
explanations not previously included in the
application, within 10 working days to OIP. In
that event, UNMOVIC and/or IAEA, will reconsider
the item(s) in accordance with the procedures
set out in paragraphs 4 to 6 above. The decision
of UNMOVIC and/or IAEA will be final and no
further reconsideration will be permitted.
UNMOVIC and/or IAEA will provide to the 661
Committee through OIP a written explanation of
the final decision of the reconsideration
process. Applications shall not be forwarded to
the 661 Committee until the reconsideration
period has expired without a request being filed.

12  – Upon receipt of an application pursuant to
paragraphs 9 or 11 above, the 661 Committee will
have 10 working days to determine under existing
procedures whether the item(s) may be sold or
supplied to Iraq. The Committee may take a
decision on an item(s) according to the
following options: (a) Approval; (b) Approval
subject to conditions as stipulated by the
Committee; (c) Denial; (d) Request for
additional information. Absent action by the
Committee within the 10-working-day period, the
application will be considered approved. A
Committee member may request additional
information. If the additional information is
not provided in 90-day period, the item(s) will
be considered supplier-inactive and no further
action on the application will be taken until
the information is provided. If the requested
information is not provided within a further 90
days, the application will be considered lapsed.
OIP should notify the submitting Mission or
United Nations agency in writing of any change
in the status of the application. The Committee
will have 20 working days to evaluate the
requested additional information once provided
by the submitting Mission or United Nations
agency. Absent action by the Committee during
the 20-working-day period, the item will be
considered approved.

13  – Where the 661 Committee does not approve
an item(s) for sale or supply to Iraq, the
Committee will notify the submitting Mission or
United Nations agency with an explanation
through OIP accordingly. The submitting Mission
or United Nations agency will have 30 working
days to petition OIP to have the 661 Committee
reconsider its decision based on new information
not previously included in the application as
reviewed by the 661 Committee. A decision by the
661 Committee on a petition received during this
period shall be made within five working days
and shall be considered final. Absent such a
petition within 30 working days, the item will
be considered ineligible for sale or supply to
Iraq and OIP will notify the submitting Mission
or United Nations agency accordingly.

14  – If an item(s) is found ineligible for sale
or supply to Iraq or is considered lapsed, the
supplier may submit a new application based on
either a new or an amended contract, and the new
application will be evaluated under the
procedures enumerated in this document and will
append the original application (for information
purposes only and to facilitate review).

15  – If an item(s) is substituted for an item
(s) that is either found ineligible for sale or
supply to Iraq or is considered lapsed, the new
item(s) will be submitted as a new application
under the procedures enumerated in this document
and will append the original application (for
information purposes only and to facilitate
review).

16  – Experts from OIP, UNMOVIC and IAEA who
evaluate applications should be drawn from the
broadest possible geographical base.

17  – The United Nations Secretariat will report
to the 661 Committee at the end of each phase on
the status of all applications submitted during
this period, including contracts recirculated
pursuant to paragraph 18 below. The Secretariat
will provide to members of the 661 Committee at
their request copies of applications approved by
OIP, UNMOVIC and IAEA, within three working days
after their approval, for information purposes
only.

18  – OIP will divide contracts currently on
hold into two categories — category A and
category B. Category A will contain contracts on
hold that have been designated by UNMOVIC as
containing item(s) on one or more of the UNSCR
resolution 1051 lists. Category A will also
contain contracts that were both processed
before the Security Council adopted UNSCR
resolution 1284 and assessed by one or more
members of the Sanctions Committee as containing
item(s) on one or more of the UNSCR resolution
1051 lists. OIP will consider contracts in
category A to be “returned to the submitting
Mission or United Nations agency” and will
notify the submitting Mission or United Nations
agency accordingly, including national comments
if possible. The submitting Mission or United
Nations agency may submit a contract in category
A as a new application under the GRL procedures.
In category B will be all other contracts
currently on hold. Contracts in category B will
be recirculated by OIP under the GRL procedures.
OIP will append the original committee
registration number and national comments, for
information purposes only, to any recirculated
contracts. OIP should start this recirculation
procedure within 60 days of adoption of this
resolution and should complete the recirculation
process within 60 days thereafter.
















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