Research compliance and legislation

Research compliance and legislation

Knowledge of the legislation that affects your research will ensure you conduct yourself in a lawful and ethical way. The information provided here is general, and you should consult the official legislation for specific information regarding your research area.

If you are concerned or unsure about your legal obligation you should contact your faculty research office, Risk and Assurance, or your compliance manager.

The Defence Trade Controls Act regulates the brokering of goods and technologies that may have military applications.

Key legal considerations include but are not limited to:

Autonomous Sanctions Act (ASA)

The Autonomous Sanctions Act effects how Macquarie may interact with parties associated with certain nation states. This includes the University dealing with external researchers, as well as our researchers dealing with external bodies.

“Autonomous sanctions” are foreign policy measures that respond to situations of international concern by limiting interaction with regimes that:

  • repress human rights/democratic freedoms
  • pursue destabilising policies such as WMD proliferation
  • wish to house misappropriated funds in Australia

These restrictions are placed on nation states on the sanctions list and include embargos on the supply of military/strategic goods and the suspension of non-humanitarian development assistance.

Breaching these restrictions can result in a maximum of 10 years imprisonment or a fine of AUD275,000, or three times the value of the transaction that caused the breach (if this can be calculated). For corporate bodies, this fine is increased to AUD1.1 million.

The impact of ASA will be dependent on your research area. Early childhood education will not likely be effected. Engineering and computing would generally require assessment. If Macquarie University must provide services or goods to one of the listed countries, the nature of the goods/services must be reviewed.

To determine if your research requires an ASA permit, complete the Autonomous Sanctions Act Questionnaire and the Autonomous Sanctions review process. You may also wish to read the full legislation.

Other areas of compliance include integrity and approvals (especially relating to biosafety and animal/human testing), as well as Health and Safety compliance. For further information please contact the relevant group.

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