Compliance Framework
Compliance Driver
Foreign Influence Transparency Scheme Act 2018 (Cth)
Classification
Level 2
University-wide requirement. Lower impacts.
Associated Legislation
Associated Standards
None
Associated Codes
None
Associated Information
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Administrative Information
Administrative Body
Australian Government - Attorney General's Department
Administrative Name
, Attorney General
Administrative Address
Administrative Phone
Administrative Email
Administrative Website
https://www.ag.gov.au/Integrity/Pages/default.aspx
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General Introduction
VC Compliance Delegate
Chris Armstrong, Deputy Vice-Chancellor Research
Compliance Coordinator
Bonnie Mayes, Research Governance and Compliance Officer
Business Units Impacted
Overview
The Foreign Influence Transparency Scheme aims to provide the public and government decision-makers with visibility of the nature, level and extent of foreign influence on Australia's government and political process. The scheme introduces registration obligations for persons and entities who have arrangements with, and undertake certain activities on behalf of, foreign principals. Whether a person or entity is required to register will depend on who the foreign principal is, the nature of the activities undertaken, the purpose for which the activities are undertaken, and in some cases, whether the person has held a senior public position in Australia.
Under the scheme, people or entities that undertake certain activities on behalf of a foreign principal for the purpose of political or governmental influence are required to register unless an exemption applies.
A foreign principal includes: a foreign government; a foreign political organisation; a foreign government related entity and a foreign government related individual.
Categories of registrable activities include: parliamentary lobbying on behalf of a foreign government; parliamentary lobbying on behalf of other kinds of foreign principals for the purpose of political or governmental influence; •general political lobbying for the purpose of political or governmental influence; communications activities for the purpose of political or government influence; disbursement activities for the purpose of political or governmental influence; activities undertaken by former Cabinet ministers on behalf of a foreign principal
•activities undertaken by recent designated position holders in the 15 year period immediately following their public role where those activities draw on the knowledge, skills or experience gained in their previous role.
UNE may have an obligation to report in the event that it is involved in or aware of a registrable activity.
The scheme also:
•allows for the Secretary of the Attorney-General's Department to issue a transparency notice if the Secretary is satisfied that a person is a foreign government related entity, or a foreign government related individual, and
•establishes criminal offences ranging from failing to comply with obligations under the scheme, through to failing to register in circumstances where a person is required to do so.
Compliance Obligations
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Assess likelihood of UNE being involved in registerable actvities under the FITS Act
Description
A person who undertakes activities on behalf of a foreign principal may be liable to register under the scheme established by this Act, depending on who the foreign principal is, the activities the person undertakes and in some cases on the person’s former status. Certain information about registrants and their activities is made publicly available.
A registrant has various responsibilities under the scheme. In general terms, these responsibilities are aimed at ensuring that the Secretary has up to date information about the activities of registrants, especially during voting periods for federal elections. These are outlined in the other obligations listed for this compliance driver.
Impacts
High - Reputation
Breach Impact Financial:
Section 57(1) - Failure to register when liable to register - 1,500 penalty units (5 years = 60 months Ã-- 5 Ã-- 5)
Section 57(2) - Recklessly failing to register when liable to register - 900 penalty units
Section 57(3) - Failing to register (strict liability) - 300 penalty units
Section 58(1) - Failure to fulfill reporting responsibility - 300 penalty units
Section 58(2) - Failure to fulfill responsibility to disclose in communications activity - 300 penalty units
Section 58(3) - Failure to keep records - 300 penalty units
Breach Impact Non-Financial:
Section 46 - Public Register - Details published on public Foreign Influence Transparency Scheme Register
Section 49 - Compliance Notice - Secretary may issue notice requiring steps to ensure compliance
Section 67 - Enforceable Undertakings - Secretary may accept undertakings regarding compliance
Section 72 - Injunctions - Court may grant injunctions to prevent or compel conduct
Executive Liability: Indirect.
Criminal Penalty/Offence: Yes.
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit
Research Services
Oversight Committee/Group
Foreign Interference and Collaboration Committee
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Conduct for Research Rule
Collaborative Research Rule
Policy
Risk Management Policy - Annexure 2 - Due Diligence to Counter Foreign Interference, Support Transparency in Foreign Relations, Conform with Autonomous Sanctions and Manage Risk of Modern Slavery Practices
Terms of Reference (Vice-Chancellor approved) - Foreign Interference and Collaboration Committee
Protocol
None
Procedure
None
Guideline
None
Other Websites
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Give valid notice of end of liability only when requirements met
Description
Only give notice of end of liability to register under s 31 when genuinely satisfied that: (a) registrable activities on behalf of the foreign principal have ceased; and (b) no registrable arrangement exists with the foreign principal
Impacts
Giving notice of end of liability while a registrable arrangement still exists carries significant penalties:
- If done with knowledge and registrable activity is subsequently undertaken: imprisonment for 5 years (s 57A(1))
- If done recklessly and registrable activity is subsequently undertaken: imprisonment for 3 years (s 57A(2))
- If done with knowledge whether or not activity undertaken: imprisonment for 12 months (s 57A(3))
- If done recklessly whether or not activity undertaken: imprisonment for 6 months (s 57A(4))
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit
Research Services
Oversight Committee/Group
Foreign Interference and Collaboration Committee
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Conduct for Research Rule
Collaborative Research Rule
Policy
Risk Management Policy - Annexure 2 - Due Diligence to Counter Foreign Interference, Support Transparency in Foreign Relations, Conform with Autonomous Sanctions and Manage Risk of Modern Slavery Practices
Terms of Reference (Vice-Chancellor approved) - Foreign Interference and Collaboration Committee
Protocol
None
Procedure
None
Guideline
None
Other Websites
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Maintain records, comply with information requests, and provide accurate information
Description
(a) Keep records of registrable activities, benefits provided, communications activity, registrable arrangements, and information communicated to the public, while registered and for 3 years after registration ends (maximum 10 years from creation of record);
(b) Comply with notices from the Secretary under s 45 or s 46 requiring information or documents relevant to the scheme, within the period specified (minimum 14 days) or any extension granted;
(c) Ensure all information and documents provided to the Secretary (including in response to notices, applications, renewals, and reports) are not false or misleading, and do not omit matters that would make them misleading.
Impacts
- Failure to keep required records: 60 penalty units (s 58(3))
- Intentional destruction, damage, or concealment of records with intent to avoid/defeat the Act: imprisonment for 2 years (s 61)
- Failure to comply with a notice requiring information: imprisonment for 6 months (s 59(1)). Note: The notice does not override legal professional privilege or parliamentary privilege (s 9A)
- Knowingly providing false or misleading information or documents to the Secretary: imprisonment for 3 years (s 60(1))
- Providing false or misleading information may also constitute an offence under s 137.1 or 137.2 of the Criminal Code
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit
Research Services
Oversight Committee/Group
Foreign Interference and Collaboration Committee
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Conduct for Research Rule
Collaborative Research Rule
Policy
Risk Management Policy - Annexure 2 - Due Diligence to Counter Foreign Interference, Support Transparency in Foreign Relations, Conform with Autonomous Sanctions and Manage Risk of Modern Slavery Practices
Terms of Reference (Vice-Chancellor approved) - Foreign Interference and Collaboration Committee
Protocol
None
Procedure
None
Guideline
None
Other Websites
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Make disclosures in communications activity
Description
Make prescribed disclosures about foreign principals when undertaking communications activity that is registrable in relation to the foreign principal, in accordance with rules made under s 38
Impacts
Failure to make required disclosures in communications activity is an offence carrying a penalty of 60 penalty units (s 58(2)). This applies whether or not the person is registered under the scheme.
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit
Research Services
Oversight Committee/Group
Foreign Interference and Collaboration Committee
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Conduct for Research Rule
Collaborative Research Rule
Policy
Risk Management Policy - Annexure 2 - Due Diligence to Counter Foreign Interference, Support Transparency in Foreign Relations, Conform with Autonomous Sanctions and Manage Risk of Modern Slavery Practices
Terms of Reference (Vice-Chancellor approved) - Foreign Interference and Collaboration Committee
Protocol
None
Procedure
None
Guideline
None
Other Websites
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Register and maintain registration under the scheme
Description
(a) Apply for registration under FITS within 14 days of becoming liable to register in relation to a foreign principal;
(b) Notify the Secretary within 14 days of becoming aware that registration information is, or will become, inaccurate or misleading in a material particular (including starting new registrable activities, changes to arrangements, ceasing to be exempt, or changes in consideration);
(c) Renew registration in relation to each foreign principal annually by the end of the renewal period (or give notice of end of liability to register).
Impacts
Failure to register or renew when liable carries significant penalties escalating with intent and activity:
- Intentional omission with knowledge and registrable activity undertaken: imprisonment for 5 years (s 57(1))
- Reckless omission and registrable activity undertaken: imprisonment for 3 years (s 57(2), (3A))
- Reckless omission with knowledge: imprisonment for 3 years (s 57(3))
- Intentional/reckless omission regardless of activity: imprisonment for 12 months (s 57(4))
Failure to report material changes in circumstances is an offence carrying 60 penalty units (s 58(1)). Material changes include starting new registrable activities, changes to arrangements with foreign principals, ceasing to be exempt, or changes in consideration payable (s 34).
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit
Research Services
Oversight Committee/Group
Foreign Interference and Collaboration Committee
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Conduct for Research Rule
Collaborative Research Rule
Policy
Risk Management Policy - Annexure 2 - Due Diligence to Counter Foreign Interference, Support Transparency in Foreign Relations, Conform with Autonomous Sanctions and Manage Risk of Modern Slavery Practices
Terms of Reference (Vice-Chancellor approved) - Foreign Interference and Collaboration Committee
Protocol
None
Procedure
None
Guideline
None
Other Websites
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Report disbursement activity thresholds
Description
Description: Report to the Secretary when disbursement activity on behalf of a foreign principal reaches the electoral donations threshold or multiples thereof, within 7 days (during voting periods for federal elections or designated votes) or 14 days (otherwise)
Impacts
Impacts: Failure to report disbursement activity that reaches thresholds is an offence carrying a penalty of 60 penalty units (s 58(1)).
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit
Research Services
Oversight Committee/Group
Foreign Interference and Collaboration Committee
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Conduct for Research Rule
Collaborative Research Rule
Policy
Risk Management Policy - Annexure 2 - Due Diligence to Counter Foreign Interference, Support Transparency in Foreign Relations, Conform with Autonomous Sanctions and Manage Risk of Modern Slavery Practices
Terms of Reference (Vice-Chancellor approved) - Foreign Interference and Collaboration Committee
Protocol
None
Procedure
None
Guideline
None
Other Websites
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Review registration and report activities during voting periods
Description
(a) Review registration information and confirm it is up to date (or update it) within 14 days of a voting period beginning for a federal election (other than by-election) or designated vote;
(b) Report registrable activities (other than disbursement) undertaken during voting periods that relate to the election/vote, within 7 days of undertaking the activity.
Impacts
Failure to provide these notices during voting periods is an offence carrying a penalty of 60 penalty units (s 58(1)). This heightened reporting requirement applies during sensitive political periods for federal elections (excluding by-elections) and designated votes, ensuring timely transparency about foreign influence activities.
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit
Research Services
Oversight Committee/Group
Foreign Interference and Collaboration Committee
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Conduct for Research Rule
Collaborative Research Rule
Policy
Risk Management Policy - Annexure 2 - Due Diligence to Counter Foreign Interference, Support Transparency in Foreign Relations, Conform with Autonomous Sanctions and Manage Risk of Modern Slavery Practices
Terms of Reference (Vice-Chancellor approved) - Foreign Interference and Collaboration Committee
Protocol
None
Procedure
None
Guideline
None
Other Websites
Compliance Overview