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Identification of Effective Implementation Practices by Examining UNSCR 1540 (2004) After a Decade of its Existence

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  • February 25, 2014 to February 26, 2014

    This workshop is being held in the framework of the 10th anniversary of the adoption of 1540 to both better understand the resolution’s implementation and to identify effective practices for the implementation of the resolution going forward. The primary participants in the event will be members of civil society who have identified effective practices. The audience will also include officials positioned to adopt or enact these effective practices. The event is hosted by the Institute for Defence Studies and Analyses, Institute for Strategic Studies, King’s College London (Project Alpha) and the UN Office of Disarmament affairs.


    When the UN Security Council adopted resolution 1540 on 28 April 2004, expectations for its effective implementation were low. The resolution was intended to assist those States that were willing to support the goals of the resolution but which lacked the legal basis through which to do so. The UNSCR 1540 Committee was set up to help Member States, and other stakeholders, to implement the resolution. The UN Security Council subsequently extended the mandate of the 1540 Committee three times. Most recently, on April 2011, the mandate of the committee was extended for a period of ten years to 2021. The key challenges to overcome during this longer mandate are those surrounding effective implementation of the resolutions requirements.

    UNSCR 1540 has many achievements to its credit. In the decade since 1540’s adoption, progress has been realised in expanding the geographical coverage of certain elements of the resolutions requirements and in improving the level of implementation in individual states. Under the auspices of UNSCR 1540 the legislative framework of numerous countries has been improved. Countries such as Malaysia have, for the first time, adopted trade control acts while many others have improved specific aspects of their legal system.

    The UNSCR 1540 committee has been instrumental in enabling the improved legal adherence to the resolution’s requirements. Through its work the 1540 Committee has also helped to establish 1540 as a framework for cooperation amongst States, civil society and non-state actors alike in ensuring that the balance between security and prosperity is maintained. Several member countries spread over different geographical regions have received technical assistance to create or strengthen national control and security structures. For this purpose, the Committee and member states have involved relevant international, regional and sub-regional organizations.

    However, the success of UNSCR 1540 as an instrument to strengthen legal frameworks has led directly to a new need for the implementation of national legislation to be improved. The adoption of laws cannot alone deliver upon the objectives of 1540. The challenge for the international community, therefore, in the second decade since the resolution’s adoption is to match the improvements in legal basis with improvements in implementation. It is in this context that there is a need to identify effective practices.

    Objectives of the Workshop:

    1. The main workshop objective is to identify effective practices that could provide solutions to the implementation challenges of 1540’s export control provisions.
    2. The workshop will also provide some insights into the geographical implementation of Resolution 1540.
    3. The other purpose of the workshop is to analyse the challenges and opportunities faced by the UNSCR 1540 Committee in supporting implementation (as opposed to supporting the development of legislative frameworks).


    Day 1

    08:30-09:30: Registration

    09.30-10.30: Inaugural Session>
    Chair: Arvind Gupta

    1. Welcome Remarks by the Organisers (IDSA, King’s College London and Institute for Strategic Studies, Delhi)
    2. Introductory Remarks by Francois Coutu, Political Affairs Officer, UN Office for Disarmament Affairs (UNODA)
    3. Inaugural Address by Amandeep Singh Gill, Joint Secretary, Ministry of External Affairs, Government of India

    10.45-11.00 Tea/Coffee Break

    11.00-12:15 Session I: An Overview of a Decade of Existence of the UNSCR 1540 from Regional Perspectives: What progress has been realized and what still needs to be done.
    Chair: Matthew Harries

    1. Experience from EU – Cindy Vestergaard, Senior Researcher Danish Institute of International Studies, Copenhagen, Denmark [Presentation]
    2. Experience from Asia-Pacific – Heigo Sato, Professor, Institute of World Studies, Takushoku University, Japan [Presentation]
    3. Experience from Central Asia – Timur Cherikov, Centre for Non-proliferation and Export Control, Bishkek, Kyrgyz Republic [Presentation]

    12.15 –13:30 Session II: An Overview of a Decade of Existence of the UNSCR 1540 from Regional Perspectives: What progress has been realized and what still needs to be done.
    Chair: Ochieng Adala

    1. African Experience: Gillane Allam, Egyptian Council for Foreign Affairs, Cairo, Egypt
    2. Latin American Experience: Kai Ilchmann, Visiting Fellow at Science and Technology Policy Research, University of Sussex [Presentation]
    3. Resolution 1540 in the Arab Region: Ayman Khalil, Director, Arab Institute for Security Studies, Amman, Jordan

    13:30-14:30 Lunch

    14.30-16:00 Session III: Effective Practices in the Licensing Process: Lessons on Implementation
    Chair: G Balachandran

    1. The Indian Experience: S K Samal, Joint Director General of Foreign Trade (DGFT), Government of India, New Delhi, India [Presentation]
    2. Catchalls and End-Use Controls: Ian Stewart, Head, Project Alpha, Kings College, London, UK [Presentation]
    3. Open Source and The Importance of Sharing Refusals: Matjaz Murovec, General Customs Directorate, Republic of Slovenia [Presentation]
    4. South Korean Experience: Steve Ho Kang, Director, Security Management Institute and Korea Association of Security and Trade (KAST), Republic of Korea [Presentation]

    16.00-16.15 Tea/Coffee Break

    16:15-17:30 Session IV: Enforcement: Challenges Ahead
    Chair: D P Dash

    1. The Indian Experience: Arvind Madhvan, Director, Disarmament and International Security Affairs (DISA), Ministry of External Affairs, India [Presentation]
    2. Effective Practices in Policing Transit and Transhipment: Janet Baenke, BAFA, Germany [Presentation]
    3. Technological Best Practices: Anshuman Roy, Rhombus Power, USA [Presentation]

    17:30-18:00 Review of Effective Practices Identified on Day One.


    09:30-11:00 Session V: Industry Engagement
    Chair: Michael Aho

    1. Enhancing Industry Capacity for Compliance: Anupam Srivastava, Federation of Indian Chambers of Commerce and Industry (FICCI), New Delhi, India [Presentation]
    2. The Private Sector as a Non-Proliferation Asset: Wyn Bowen, King’s College, London, UK
    3. Industry Engagement through Industry Associations: Mukesh Bhargava, Head of Marine Business, Larsen &Toubro, India

    11:00-11.15 Tea/Coffee Break

    11:15-12:45 Session VI: Effective Practices in Coordination: A Role of NGO’s
    Chair: C Uday Bhaskar

    1. Maria Sultan, Director-General of the South Asian Strategic Stability Institute, Islamabad, Pakistan [Presentation]
    2. Sharing Best Practices Through Regional Forums - Tanya Ogilvie-White, Centre for Nuclear Non-proliferation and Disarmament, The Australian National University, Australia [Presentation]
    3. Rajiv Nayan, Senior Research Associate, Institute for Defence Studies and Analyses, New Delhi, India [Presentation]

    12:45-13:30 Lunch

    13:30-15:00 Session VII: Effective Practices and Intangible Controls
    Chair: Prof. Wyn Bowen

    1. Codes of Conduct, Daniel Salisbury, Project Alpha, Kings College, London, UK [Presentation]
    2. Effective Practices for Controlling Intangible Technology Exports: Peter Clevestig, SIPRI, Sweden [Presentation]
    3. R Ramachandran, Former Editor, Frontline Magazine [Presentation]

    15:00-15:15 Tea/Coffee Break

    15:15-16:30 Session VIII: Identification of Effective Practices Next Steps
    Chair: B M Gokhale

    1. A B Awati, Scientist, Department of Atomic Energy, Mumbai, India [Presentation]
    2. Emiliano Buis, Professor and Researcher at NPS Global Foundation, Buenos Aires, Argentina [Presentation]
    3. Margaret Muturi, Department of Medical Laboratory Science, Kenyatta University, Kenya [Presentation]
    4. Noel Stott (Via Skype), Senior Research Fellow, ISS Africa.

    16:30-17:00 Closing Session
    Chair: Arvind Gupta

    1. Rajiv Nayan, Senior Research Associate, Institute for Defence Studies and Analyses, New Delhi, India
    2. Ian Stewart, Head, Project Alpha, Kings College, London, UK
    3. Michael C. Aho, UNSC 1540 Committee Member, Coordinator, Working Group on Transparency and Media Outreach
    4. G Balachandran, Consulting Fellow, Institute for Defence Studies and Analyses, New Delhi, India

    Click here for Event Photographs [+]