1540 Committee
 Security Council Committee established pursuant to resolution 1540 (2004)

 Voluntary Technical Reference Guide – Export Controls


Background

Operative Paragraph 13 of UNSC resolution 2663(2022) encourages the 1540 Committee to develop and review, as appropriate, voluntary technical reference guides, including through implementation guidelines or other such appropriate documents, prepared with the assistance of its Group of Experts, which Member States could take into consideration in their implementation of resolution 1540 (2004). This document is such a voluntary technical reference guide.


Disclaimer

Technical reference guidance and related information referred to in this guide is solely intended to provide Member States with an inventory of existing potential technical reference resources that could be considered to assist them in meeting obligations stipulated by resolution 1540 (2004). Use of the technical reference guidance and related information is strictly voluntary and does not represent a requirement for Members States in meeting their 1540 obligations. It is not within the 1540 Committee’s authority to establish such requirements, and it therefore does not endorse any of the information below.


Introductory Information

This specific voluntary technical reference guide relates to resolution 1540 (2004) Operative Paragraph (OP) 3 (d), regarding the obligation to establish, develop, review and maintain appropriate effective national export controls.

The information contained in this guidance is focused on elements of the 1540 Committee matrix pertaining to national export controls, these include: Export Control Legislation, Licensing Provisions & Authority, and Control Lists of Materials, Equipment & Technology. These three elements form the basis of most national export control systems and are therefore a common set of elements that Member States will need to consider in meeting their obligations under OP3 (d), in respect to appropriate effective national export controls on materials, equipment, and technology related to nuclear, chemical, and biological weapons and their means of delivery.

Information provided by national authorities, International and Regional Organisations (IROs) and other International Arrangements, will often include information relevant to other aspects of 1540 implementation, as identified in Section VII (OP3 (c) and (d)) of the 1540 Matrix, these include: - Catch-All Controls, End-User Controls, Transit Controls, Trans-shipment Controls, Brokering Controls, Intangible Transfer Controls, Enforcement, Re-export Controls, Controls on Services related to exports and transshipment, and Controls on the Financing of exports/transshipments.


Related Commonly Used Terms

In addition to those terms used within the resolution 1540 (2004) and the Matrix there are a wide range of terms and other references in general use that are often associated with the export controls, and are mentioned within some of the material included in this reference guide, these include: - Export Licensing Process, Control Lists, Control List Classification (CLC), Dual-Use List (DUL), End-User Undertaking (EUU), End-User Certificates (EUC), Internal Compliance Programmes (ICP), License Types (Global / Open / General Authorization / Standard / Individual), and Technical Assistance.


Relevant General Guidance Document Links on Export Controls from IROs and Other International Arrangements


Guidance Information Websites and Document Links on Export Controls from Member States

1It should be noted that the World Customs Organization’s STCE Programme and related Implementation Guidance have a broad scope of coverage, some of which is directly relevant to resolution 1540 requirements, but they also refer to the export control of items that are not relevant to resolution 1540. Any consideration regarding the use of this guidance material is voluntary and remains at the discretion of the State.

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