Export Controls and Sanctions

Export Controls and Sanctions

SUMMARY

The Export Controls and Sanctions Policy establishes the University’s commitment to comply with export controls and sanctions laws, and will assist the University’s (including its Controlled Entities’) researchers, academics, other relevant personnel, and students to comply with these obligations.

The Export Controls Procedure provides further information on the actions and responsibilities through which the University and its Controlled Entities will meet its export controls obligations.

POLICY

1     PURPOSE

This Policy sets out the University’s commitment to comply with export controls and sanctions laws, and will assist the University’s (including its Controlled Entities’) researchers, academics, other relevant personnel, and students to comply with these obligations.

2     BACKGROUND

Macquarie University is committed to supporting impactful research through the exchange of academic ideas, and pursuing a program of transformative learning and teaching. In doing so, it seeks to protect academic freedom and encourage the dissemination of information resulting from research and other activities.  Some of the University’s activities may be subject to export control and sanctions laws and regulations.

Current legislation regulates the tangible and intangible export from Australia to a place outside Australia of defence and strategic goods, software, and technology listed in the Defence Strategic Goods List (DSGL) (known as the ‘controlled items’). The DSGL contains a list of military items (Part 1 – Munitions List) and dual-use items (Part 2 – Dual-Use List) which are items used for commercial purposes but which can also be used in military, nuclear, chemical and biological programs. DSGL goods, technology and software are not necessarily prohibited from being exported or published; rather they need a permit before they can be exported or published.

In related laws, sanctions legislation prohibits the provision of training, technical advice, and assistance in relation to a range of goods and services (including the supply of training and technology) to specific individuals, organisations, and countries and their citizens. Australian organisations, including universities, can be held liable for a breach if they are unable to demonstrate that they have taken ‘reasonable precautions’ and ‘exercised due diligence’ in relation to sanctions laws. Contravention of an Australian sanction can be a serious criminal offence, including penalties of up to ten years in prison and substantial fines, for both organisations and individuals.

3     SCOPE

This Policy and its associated procedures apply to all staff, researchers, students, and other relevant personnel at all campuses and locations of the University and its Controlled Entities, including contractors, trainees, agents, visitors, associates, honorary appointees, conjoints and consultants of the University who work with DSGL goods, technology and software.

All staff, researchers, students, and other relevant personnel are responsible for complying with export control and sanctions laws in the conduct of the University-related activities, and must exercise due diligence when dealing with matters that may fall within the scope of this Policy.

4     DEFINITIONS

Commonly defined terms are located in the University Glossary. The following definitions apply for the purpose of this Policy:

Controlled Entity: a person, group of persons or body of which the University or the Council has control within the meaning of Section 39 (IA) or 45A (IA) of the Public Finance and Audit Act 1983 (NSW).

Designated person or entity: a person or entity named on the DFAT Consolidated List of designated persons and entities.

DSGL: the Defence and Strategic Goods List, which specifies controlled goods, technology, and software.

Autonomous sanctions: punitive measures not involving the use of armed force that the Australian Government chooses to take as a foreign policy response. In Australia, sanctions obligations are found primarily in the following: Autonomous Sanctions Act 2011, Defence Trade Controls Act 2012, Charter of the United Nations Act 1945, Weapons of Mass Destruction (Prevention of Proliferation) Act 1995.

Sanctions permit: an authorisation given by the Minister for Foreign Affairs to undertake an activity that would otherwise contravene an Australian sanctions law.

DFAT: the Department of Foreign Affairs and Trade.

5     POLICY STATEMENT

The University is committed to ensuring that its staff, researchers, students and other relevant personnel, along with those of its Controlled Entities, comply with domestic export control and sanctions laws and regulations.

Taking a risk-based approach to compliance, the University will exercise due diligence by taking reasonable precautions to ensure that its staff, researchers, students, and other relevant personnel:

  • are made aware of their obligations under Australian export controls laws and regulations; and
  • comply with Australian sanctions laws and regulations.

Export Controls
Export controls laws and regulations seek to prevent the misuse of sensitive technology in the interests of national security. Primary responsibility for compliance with export controls laws and regulations lies with the individual. This responsibility stems from the obligations imposed on individuals by export controls legislation and from the premise that researchers have the expertise in understanding the types and applications of products, data and technology that result from their research endeavours.

The University will educate its staff, researchers, students, and other relevant personnel on their obligations under export controls laws and regulations, i.e. that they must not, without a permit or licence from the Department of Defence, undertake the following activities in relation to controlled goods (defence and dual-use goods on the DSGL):

  1. intangible supply – a person in Australia providing controlled technology in a non-physical form (e.g. electronically) to another person outside Australia;
  2. tangible supply – the physical export of goods outside Australia;
  3. publication – in relation to military technology, placing this in the public domain by publishing it on the internet, to the public or to a section of the public; or
  4. brokering – anyone located in Australia, or an Australian citizen or resident located outside Australia, acting as an agent or intermediary to arrange the transfer of controlled goods or technology between two places located outside Australia, and receiving money or non-cash benefit, or advancing a political, religious or ideological cause for arranging the supply.

Sanctions
Australian sanction laws and regulations are comprised of Australian autonomous sanctions and United Nations Security Council (UNSC) sanctions regimes. These place restrictions on the University’s interaction with persons and organisations associated with countries on the DFAT sanctions list.

Autonomous Sanctions
The University will take reasonable measures to ensure that Australia’s autonomous sanctions laws and regulations are not contravened. Specifically, the University will take reasonable measures to ensure that it does not, without a valid permit from the Minister for Foreign Affairs (or delegate), undertake activities detailed in the DFAT Sanctions Regimes listings. Generally, sanctioned activities are as follows:

  1. supply, sell or transfer arms or related material, including software, to countries on the DFAT sanctions list;
  2. provide technical advice, assistance (including financial assistance or a financial service) or training in relation to a military activity or an activity involving the supply, sale, transfer, manufacture, maintenance or use of arms and related material to a person from a country on the DFAT sanctions list;
  3. make available particular assets such as funds, financial assets and economic resources to, or for the benefit of, sanctioned countries or designated persons or entities;
  4. use or deal with assets such as funds, financial assets and economic resources that are owned or controlled by sanctioned countries or designated persons or entities; or
  5. provide training or technical advice in relation to oil, gas, and petrochemicals to citizens or businesses from Iran.

(NB: Sanctions apply both to activities in Australia, and to activities by Australian citizens and Australian-registered bodies corporate overseas.)

UNSC Sanctions
In addition to Australia’s autonomous sanctions, the University will comply with sanctions imposed by the United Nations Security Council (UNSC) and translated into Australian law through the enactment of regulations relevant to each sanctioned country. A current list of UNSC sanctions is available at the DFAT website.

6     RELEVANT LEGISLATION

Autonomous Sanctions Act 2011 (Cth)
Australian Autonomous Sanctions Regulations 2011 (Cth)
Customs Act 1901 (Cth)
Customs (Prohibited Exports) Regulations 1958 (Cth)
Defence and Strategic Goods List (DSGL)
Defence Trade Controls Act 2012 (Cth)
Charter of the United Nations Act 1945 (Cth) and subordinate legislative instruments
Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (Cth)

7     KEY RELATED DOCUMENTS

Supporting Export Controls and Sanctions documents on this page (see tab above):
Export Controls Procedure

Other related documents:
Autonomous Sanctions Procedures
Autonomous Sanctions Procedures (HDR)
Macquarie University Code for the Responsible Conduct of Research
Records and Information Management Policy and Procedures
Recruitment, Selection and Appointment Policy
Learning Technologies Policy
Biosafety and Biosecurity Policy

8     NOTES

8.1
Contact Officer
Manager, Research Policy and Contracts
8.2
Implementation Officer
Manager, Research Policy and Contracts (Research)
Project Manager (Learning & Teaching)
8.3
Approval Authority / Authorities
Deputy Vice Chancellor, Academic
Deputy Vice Chancellor, Research
8.4
Date Approved
31 March 2016
8.5
Date of Commencement
1 April 2016
8.6
Date for Review
April 2017
8.7
Documents Superseded by this Policy
N/A
8.8
Amendment History
Nil

PROCEDURE

EXPORT CONTROLS PROCEDURE

1     PURPOSE

To set out the actions and responsibilities through which the University and its Controlled Entities will meet its export controls obligations in accordance with the University’s’ Export Controls and Sanctions Policy.

2     SCOPE

This procedure applies to all staff, researchers, students and other relevant personnel at all campuses and locations of the University and its Controlled Entities, including contractors, trainees, agents, visitors, associates, honorary appointees, conjoints and consultants of the University who work with DSGL goods, technology and software.

All staff, researchers, students and other relevant personnel are responsible for complying with export control laws in the conduct of the University-related activities, and must exercise due diligence when dealing with matters that may fall within the scope of the Export Controls and Sanctions Policy.

3     DEFINITIONS

Commonly defined terms are located in the University Glossary. Definitions specific to this Procedure are contained in the accompanying Policy.

4     RESPONSIBILITIES AND REQUIRED ACTIONS

STAFF, RESEARCHERS, STUDENTS AND OTHER RELEVANT PERSONNEL
All staff, researchers, students and other relevant personnel are to:

  • self assess their activities against the Department of Defence online Activity Assessment Questionnaire to ascertain:
    • whether the activity is controlled by the Relevant Legislation,
    • whether any exemptions will apply under the Relevant Legislation, and
    • the likelihood that the technology will leave the institution or be exported; and
  • use the DSGL search tool DECO has provided to determine if a particular good, software or technology is listed on the DSGL.

If the activity is controlled and relates to a DSGL item, refer the activity to the University’s Export Controls Committee which will assess whether a Defence Export Control Office (DECO) permit or licence is required for the activity.

If you have been unable to determine if the activity is controlled and you believe the goods, software or technology are listed in the DSGL, please contact the Research Office.

The flowchart below, which has been developed in accordance with the Australian Code for the Responsible Conduct of Research, sets out the process that staff, students and other relevant personnel must follow to determine whether their proposed activity is controlled and therefore requires a permit to proceed.

Print version of Export Controls Procedure flowchart (PDF)

If you have difficulty accessing this document, please contact policy@mq.edu.au or phone 02 9850 4791

DSGL Search ToolDSGL Search ToolExport Controls ProcedureNORevise activity profileUNIVERSITY Export Controls COmmitteeYESWork continues under permit  OR LICENCE CONDITIONSYESNOYESNOYESHas DECO permit or licence been issued?Refer to DECO for permit or licenceIs a permit or licence required?Will DSGL material be exported?Refer activity to University  Export Controls Committee for...Export Controls and Sanctions PolicyNOIs there a likelihood  of controlled goods, software  or...YESNONOYESNOWORK CONTINUESDSGL Search ToolDSGL Search ToolDSGL Activity QuestionnaireDSGL Activity QuestionnaireUndertake  technology assessmentDoes the activity relate to DSGL  items?Is the activity  ‘basic scientific  research’?Is the activity  already in the public domain?

5     RELEVANT LEGISLATION

Customs Act 1901 (Cth)
Customs (Prohibited Exports) Regulations 1958 (Cth)
Defence and Strategic Goods List (DSGL)
Defence Trade Controls Act 2012 (Cth)
Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (Cth)
Australian Code for the Responsible Conduct of Research

Related resources:
Department of Defence Activity Assessment Questionnaire
Defence Export Control Office DSGL Search Tool

6     KEY RELATED DOCUMENTS

Supporting Export Controls and Sanctions documents on this page (see tab above):
Export Controls and Sanctions Policy

Other related documents:
Autonomous Sanctions Procedures
Autonomous Sanctions Procedures (HDR)
Macquarie University Code for the Responsible Conduct of Research
Records and Information Management Policy and Procedures
Recruitment, Selection and Appointment Policy
Learning Technologies Policy
Biosafety and Biosecurity Policy

7     NOTES

7.1
Contact Officer
Manager, Research Policy and Contracts
7.2
Implementation Officer
Manager, Research Policy and Contracts (Research)
Project Manager (Learning & Teaching)
7.3
Approval Authority / Authorities
Deputy Vice Chancellor, Academic
Deputy Vice Chancellor, Research
7.4
Date Approved
31 April 2016
7.5
Date of Commencement
1 April 2016
7.6
Date for Review
April 2017
7.7
Documents Superseded by this Procedure
n/a
7.8
Amendment History
Oct 2016 - update of flowchart to conform with Macquarie University branding.
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