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1. Purpose and Objectives

This Export Controls Policy details the essential aspects of export control laws and the University’s commitment to comply with, and to assist individuals associated with the University who Work with, or have the potential to Work with, Defence and strategic goods, technology and software to comply with, those laws.

2. Definitions, Terms, Acronyms

Defence and strategic goods, technology and software – goods, technology and software listed in the Defence and Strategic Goods List (DSGL)

Defence and Strategic Goods List(DSGL) - Australia's export control list of regulated Defence and strategic goods, technology and software

Export – when Defence and strategic goods, technology and software are moved from Australia to a place outside Australia. This includes the transmission and Publication of technology listed in the DSGL

Publication – when technology listed in the DSGL is made available to the public or a section of the public by placing it on the internet or otherwise

Work – includes an intention to work or allows another person to work

3. Policy Scope/Coverage

Adherence to this Policy and associated Procedures is incumbent upon every individual associated with the University who Works with, or has the potential to Work with, Defence and strategic goods, technology and software. This includes staff, students and affiliates of, and any other individual associated with, the University.

4. Policy Statement

Export control laws regulate the Export from Australia to a place outside Australia of Defence and strategic goods, technology and software. This includes the transmission and Publication of certain controlled information.

While research or teaching activities may not be specifically related to weapons or defence, they may involve Defence and strategic goods, technology or software. Export of these items from Australia to a place outside Australia requires a permit.

Defence and strategic goods, technology and software are prohibited from being Exported or published without a permit.

The University is committed to full compliance with all export control laws that apply to its research, academic and business activities.

5. Export Control Compliance

5.1 Export control laws

In Australia, the central point of reference for regulating the Export of Defence and strategic goods, technology and software is the Defence and Strategic Goods List (DSGL). The goods, software and technologies on the DSGL are agreed in conjunction with members of various international non-proliferation and export control regimes. The DSGL is a legislative instrument made under paragraph 112(2A) (aa) of the Customs Act 1901 and is subject to regular amendment.

The Customs Act 1901 and the Customs (Prohibited Exports) Regulations 1958 prohibit the (tangible) physical Export of defence and strategic goods, technology and software without a permit from the Minister for Defence.

The Defence Trade Controls Act 2012 and Defence Trade Controls Regulation 2013 prohibit the (intangible) supply by electronic means and Publication of technology listed in the DSGL and the overseas brokering of Defence and strategic goods, technology and software without a permit or approval from the Minister of Defence.

The Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 controls any tangible or intangible goods, technologies or services that could be used in a Weapons of Mass Destruction program. This Act is ‘catch-all’ legislation and can only be used if other controls do not apply.

Section 112BA of the Customs Act 1901 allows the Minister for Defence to prohibit the Export of non-regulated tangible goods or tangible technology that may contribute to a military end-use that would prejudice Australia's security, defence or international relations. These provisions are also a ‘catch-all’ control.

5.2 Offences

The Export of Defence and strategic goods, technology and software or the supply or Publication of technology listed in the DSGL from Australia to a place outside Australia or the brokering of Defence and strategic goods, technology and software without a permit constitutes an offence and is subject to a fine not exceeding 2,500 penalty units or imprisonment for 10 years, or both.

It is also an offence to supply technology listed in the DSGL outside the terms of a permit and is subject to a fine of 60 penalty units.

Contravention of a recordkeeping requirement under the Defence Trade Controls Act 2012 incurs a penalty of 30 penalty units.

One penalty unit = $180 (subject to amendment from time to time).

5.3 Compliance responsibility

The University is committed to compliance with export control laws.

Responsibility for compliance with those laws is shared between the University and individuals associated with the University who Work with, or has the potential to Work with, Defence and strategic goods, technology and software.

The University is responsible for implementing appropriate compliance measures and providing guidance to, and raising the awareness of, individuals associated with the University who Work with, or have the potential to Work with, Defence and strategic goods, technology and software.

Individuals are also responsible for compliance with export control laws.

This responsibility stems both from the obligations imposed on individuals by export control laws and the premise that researchers have the expertise in understanding the type and foreseeable application of products, data and technology that result from their research endeavours.

This responsibility is reflected in many of the University’s policies, in particular the Code of Conduct and the Responsible Conduct of Research Policy.

Given the significance of the potential penalties for breaches of export control laws, the University will ensure individuals associated with the University who Work with, or have the potential to Work with, Defence and strategic goods, technology and software is made aware of their compliance responsibilities and provided with the necessary tools and processes to enable them to comply with those laws.

5.4 University acknowledgement and undertakings

The University acknowledges the need for adequate resourcing for compliance with export control laws.

The University undertakes to:

  • understand and comply with all applicable export control laws and internal University controls established to ensure compliance with those laws;
  • work closely with individuals associated with the University who Work with, or have the potential to Work with, Defence and strategic goods, technology and software to develop solution based processes which further research whilst ensuring compliance with applicable export control laws;
  • develop processes to ensure export control education, training and guidance is provided to all individuals associated with the University who Work with, or have the potential to Work with, Defence and strategic goods, technology and software; and
  • maintain a close working relationship with the Defence Export Controls branch.

5.5 Export Controls Advisory Sub-Committee

An export controls advisory sub-committee is established as a sub-committee of the Research Committee which is a committee of the Academic Board.

5.6 Related policies and procedures

Custodians
Deputy Vice-Chancellor (Research) Professor Bronwyn Harch