Compliance Overview

Compliance Framework
Compliance Driver Chemical Weapons (Prohibition) Act 1994 (Cth)
Classification Level 4
Local area requirement, managed locally .
Associated Legislation None
Associated Standards None
Associated Codes None
Associated Information None
Return to Top Administrative Information
Administrative Body
Administrative Name
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Return to Top General Introduction
VC Compliance Delegate Chris Armstrong, Deputy Vice-Chancellor Research
Compliance Coordinator Bonnie Mayes, Research Governance and Compliance Officer
Business Units Impacted
  • Academic Development
  • Ag360
  • Animal Genetics and Breeding Unit
  • Australian Business Research Institute
  • Careers & Employability
  • Centre for Agriculture and Law
  • Centre for Animal Research and Teaching
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Collaborative Research Centres
  • Controlled Entities
  • Cotton Catchment Communities CRC
  • CRC for Beef Genetic Technologies
  • CRC for Spatial Information
  • Curriculum and Academic Management
  • Digital Education
  • Education Enterprise
  • Education Futures
  • Education Quality Directorate
  • English Language Centre
  • Estate and Built Environment
  • Examinations Office
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Graduate Research School
  • Heritage Futures Research Centre
  • Office of the Chief Financial Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Vice-Chancellor and CEO
  • Poultry Hub
  • Research Centres and Institutes
  • Research Services
  • Rural Properties
  • School of Education
  • School of Environmental and Rural Science
  • School of Health
  • School of Humanities, Arts and Social Sciences
  • School of Psychology
  • School of Rural Medicine
  • School of Science and Technology
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Council
  • UNE International
  • UNE Life Healthcare Centre
Overview The University is likely to be considered an "operator" of a "facility" under the Act. This triggers a range of legal obligations, including the requirement to obtain permits for certain activities, notify the government of others, maintain detailed records, and be subject to both national and international inspections.

For example:
s 12 Offences relating to chemical weapons - Intentionally developing, producing, acquiring, stockpiling, retaining, transferring, or using chemical weapons. Forfeiture of the chemical weapon to the Commonwealth (s 14). Imprisonment for life. Section 9 provides that conduct and state of mind of directors, employees, or agents can be attributed to the University unless it proves it took reasonable precautions and exercised due diligence.
s 77(1) Production etc. of Scheduled chemicals otherwise than in accordance with permit - Producing, acquiring, using, or transferring Schedule 1 chemicals without, or not in accordance with, a required permit. 500 penalty units or imprisonment for 5 years, or both. Forfeiture of any substance or article used in the commission of the offence (s 81). Revocation of permit (s 25). This is an indictable offence.
s 30(3) Failure to meet record keeping obligations - Failing to provide required reports or keep prescribed records for a facility that has or had a permit. Imprisonment for 2 years. Revocation of permit (s 25). This is an indictable offence.

Compliance Obligations

Return to Top Comply with absolute prohibition on chemical weapons activities and notify discoveries
Description UNE and all staff, students, and representatives must not intentionally develop, produce, acquire, stockpile, retain, transfer, or use chemical weapons, or assist others to engage in such prohibited activities. This includes a prohibition on using riot control agents as a method of warfare. This is an absolute prohibition that applies to all persons and entities.
Impacts - Criminal penalties: Life imprisonment for individuals who intentionally engage in prohibited chemical weapons activities (s12).
- Extended geographical jurisdiction: Offence applies to Australian citizens overseas and on Australian ships/aircraft (s12(2)).
- Commonwealth forfeiture: Any chemical weapons are forfeited to the Commonwealth (s14).
- Breach of international obligations: Non-compliance breaches Australia's obligations under the Convention on the Prohibition of Chemical Weapons (s3).
- Court seizure and condemnation powers: Courts may order substances/articles seized and condemned; prosecutions may occur (s14).
Responsible Manager Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit Research Services
Oversight Committee/Group None
Business Units Impacted
  • Faculty of Science, Agriculture, Business and Law
  • School of Science and Technology
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Cooperate with inspections and investigations
Description The Director of the Chemical Weapons Convention Office may, by written notice, require any person (including UNE staff) capable of providing information relevant to Australia's declarations under the Convention to provide such information or documents within a reasonable period. UNE must comply with such requests and must not make false or misleading statements to the Director, Controller, inspectors, or other officials exercising powers under the Act. UNE must cooperate with any inspections, investigations, or verification activities conducted under the Act.
Impacts - Criminal penalties: Imprisonment for 1 year for failing to provide required information or documents (s31(4A)); 2 years imprisonment for making false or misleading statements (orally or in writing) (s80(1)); 2 years imprisonment for providing false/misleading documents (s80(2)).
- Director's information-gathering powers: Director may require any person capable of providing relevant information to supply it within specified reasonable periods by written notice (s31(2), (3)).
- Inspection access requirements: National inspectors may enter UNE facilities with consent or warrant to conduct compliance inspections (s35).
- International inspection obligations: OPCW inspectors may conduct routine international compliance inspections at declared facilities (with consent or warrant) (ss39-42).
- Challenge inspection regime: Facilities may be subject to challenge inspections by OPCW inspectors if another State Party raises non-compliance concerns (s47, Part X).
- Monitoring equipment installation: National and Organization inspectors may install and operate continuous or temporary monitoring equipment at declared facilities (ss39(3), 40(3)).
- Record access: Inspectors have rights to examine documents and records kept under the Act or permit conditions (ss34(1)(e)-(f), 38(1)(f)-(g)).
- Sampling and analysis: Inspectors may take samples and conduct on-site or off-site analysis (ss34(1)(c), 38(1)(d), Part II paras 52-58).
- Personnel interviews: Facility personnel may be interviewed by inspectors in presence of State Party representatives (Part II, para 46).
- Confidentiality regime: Information provided or acquired subject to strict confidentiality provisions; unauthorized disclosure attracts 2 years imprisonment (s102).
- Reasonable excuse defense: Available for information provision failures but not for false statements (ss31(4B), (4C); s80 - no defense specified).
- Evidence use: Information provided may be used as evidence in proceedings; Register of Permits and Notifications admissible as prima facie evidence (ss80, 83).
Responsible Manager Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit Research Services
Oversight Committee/Group None
Business Units Impacted
  • Faculty of Science, Agriculture, Business and Law
  • School of Science and Technology
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Maintain records and provide reports on chemical activities
Description If UNE operates a facility that produces, processes, or consumes Schedule 1, 2, or 3 chemicals above specified thresholds, the facility operator must obtain a permit from the Minister and/or notify the Director of the Chemical Weapons Convention Office. Thresholds include: any production of Schedule 1 chemicals (research/medical/pharmaceutical purposes only); Schedule 2 chemicals exceeding specified permit thresholds (1kg to 1 tonne depending on chemical); and Schedule 3 chemicals exceeding 30 tonnes. Annual declarations and record-keeping obligations apply to permitted facilities.
Impacts - Criminal penalties: Up to 5 years imprisonment or 500 penalty units (or both) for producing Schedule 1 chemicals without a permit (s77(1)); up to 2 years or 250 penalty units for Schedule 2 violations (s77(2)); 250 penalty units for Schedule 3 violations (s77(3)); 100 penalty units for notification failures (s77(4)).
- Permit regime requirements: Permits granted for one year only with automatic 4-year renewal provisions (ss18, 19A); non-automatic renewal thereafter requires fresh application (s20).
- Transfer restrictions: Schedule 1 chemicals can only be transferred between State Parties; Schedule 2 chemicals cannot be transferred to non-State Parties after 3-year transition; Schedule 3 transfers subject to end-use certificate requirements (s22, Part VII para 31).
- Facility-specific limitations: Schedule 1 facilities subject to strict aggregate limits (maximum 1 tonne at any time) and purpose restrictions (research, medical, pharmaceutical, or protective only) (s19(2), (12), (13)).
- Application deadlines: Prescribed deadlines for permit applications; late applicants may be named in Director's annual report to Parliament (s96(1A)).
- Permit conditions: Permits granted subject to Ministerial conditions; breach of conditions attracts 100 penalty units (strict liability offence) (s78).
- Revocation powers: Minister may revoke permits for convictions under the Act or breach of conditions (s25).
- Administrative Review Tribunal appeal rights: Permit refusals, condition impositions, variations, transfer refusals, and revocations subject to AAT review (ss26-27).
Responsible Manager Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit Research Services
Oversight Committee/Group None
Business Units Impacted
  • Faculty of Science, Agriculture, Business and Law
  • School of Science and Technology
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Obtain licences and security clearances for handling explosives and explosive precursors
Description Obtain appropriate licences from the regulatory authority (SafeWork NSW) before handling any explosive or explosive precursor if required by the Act or regulations. Natural persons handling explosives or explosive precursors must hold a valid security clearance. Licences and security clearances are subject to conditions prescribed by regulations or imposed by the regulatory authority and must be renewed within specified periods. Only handle authorised explosives.
Impacts - Criminal penalties: Up to 350 penalty units or 12 months imprisonment (or both) for individuals handling explosives without required licence; 700 penalty units for corporations (s6(1)); 350 penalty units for handling without required security clearance (s6A); 70 penalty units for breaching licence conditions (s16AG); 50 penalty units for breaching security clearance conditions (s15).
- Security clearance prerequisites: Natural persons require valid security clearance to obtain licence (s10A(1)); corporations require at least one responsible person with clearance (s10A(2)).
- Eligibility requirements: Must be at least 18 years of age and fit and proper person (ss13B(2), 16AC).
- Commissioner of Police reporting: Provides reports on criminal history, violence history, firearms prohibition orders, and fitness to hold licence/clearance (s13).
- Suspension and cancellation: May be suspended for prosecutions or non-compliance (s20); cancelled for convictions, breaches, false information, or unfitness (s21); special provisions for violence concerns or apprehended violence orders (s22).
- AAT review rights: Decisions subject to Civil and Administrative Tribunal review within 28 days (s24).
- Executive liability: Directors/managers personally liable for corporate licence offences if fail to take reasonable steps to prevent offence (s33).
- Surrender obligation: Suspended/cancelled licences must be delivered to regulatory authority (s23).
Responsible Manager Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit Research Services
Oversight Committee/Group None
Business Units Impacted
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top Obtain permits or submit notifications for facilities dealing with scheduled chemicals
Description If any person at UNE finds a substance or article that they believe may be a chemical weapon (whether in Australia, external territories, or on the continental shelf), they must immediately notify the Director of the Chemical Weapons Convention Office or a police constable of the finding and location. This obligation applies to accidental discoveries during field work, research, or other activities.
Impacts - Criminal penalties: Imprisonment for 1 year for failing to notify discovery of suspected chemical weapons (s13).
- Police notification requirement: If notifying a constable, the constable must notify the Director (s13(2)).
- Seizure powers: Constables may seize suspected chemical weapons without warrant (s14(2)).
- Court inquiry requirement: Seized substances must be taken before a court of summary jurisdiction for inquiry and determination (s14(3)).
- Storage obligations: Seized substances must be stored in accordance with approved procedures pending court determination (s14(6), (8)).
Responsible Manager Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer Bonnie Mayes, Research Governance and Compliance Officer
Coordinating Unit Research Services
Oversight Committee/Group None
Business Units Impacted
  • Faculty of Science, Agriculture, Business and Law
  • School of Science and Technology
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites