Compliance Framework
Compliance Driver
Defence Trade Controls Act 2012 (Cth)
Classification
Level 3
Centrally managed, local area(s) requirement.
Associated Legislation
Associated Standards
None
Associated Codes
None
Associated Information
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Administrative Information
Administrative Body
Defence Export Control Office (DECO)
Administrative Name
Administrative Address
Mailing Address
Department of Defence
R1-1-A037 PO Box 7901
CANBERRA BC ACT
Australia, 2610
Administrative Phone
1800 661 066
+61 2 626 67222
Administrative Email
exportcontrols@defence.gov.au
Administrative Website
http://www.defence.gov.au/ExportControls
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General Introduction
VC Compliance Delegate
Chris Armstrong, Deputy Vice-Chancellor Research
Compliance Coordinator
Kath Dougall, Senior Manager, Research Grants
Business Units Impacted
Overview
The Defence Trade Control Act 2012 (the Act) is part of Australia’s export control measure which aims to stop goods and technology that can be used in chemical, biological and nuclear weapons, or military goods and technologies, from being transferred to individuals, states or groups of proliferation concern. As a member of international export control regimes (Wassenaar Arrangement), Australia is part of a global effort to regulate the export of items listed by these regimes, which have military or WMD applications.
Australia regulates the physical export of military and dual-use items listed by the international regimes, under Regulation 13E of the Customs (Prohibited Exports) Regulations 1958. However, there were significant gaps that have been closed by the Defence Trade Control Act 2012 (DTC Act). For example:
• If an Australian organisation physically exports a controlled virus, a licence is required under Regulation 13E (in addition to any biosafety obligations). However, if they email instructions on how to produce or enhance that virus, no permit is required, and the Australian Government has no visibility or control over the electronic export of this information, including whether it is potentially destined for a biological weapons program. The export of sensitive information in electronic or other non-physical form is referred to as intangible supply. As well as emails, other examples of intangible supply include supply via the internet and social media etc.
• If an Australian or a person in Australia were to arrange for weapons to be sent from one destination outside Australia to another destination outside Australia, no brokering permit is required, and the Australian Government has no visibility or control over this brokering activity, including whether it is potentially destined for uses that may abuse human rights.
The three main activities regulated by the DTC Act are:
• The intangible supply (transmission by non-physical means) of controlled technology from a person in Australia to a person outside Australia;
• Publishing controlled military technology; and
• Brokering controlled military goods and technology.
The Act separately implements the Defence Trade Cooperation Treaty between Australia and the United States of America.
UNE Representatives should contact the Compliance Coordinator (being the Export Controls Compliance Officer) above.Compliance Obligations
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Controlled Goods, Services & Technology
Description
Where research is related to goods, services or technologies that are controlled under the Defence and Strategic Goods List, Researchers are obligated to obtain the necessary permit/s***, in consultation with Research Services and the Compliance Coordinator/Responsible Manager (being the Export Controls Compliance Officer) below.
Researchers must give consideration to the impact of the requirements of the Defence Trade Controls Act 2012 at times of:
1. Publication
2. Electronic correspondence
3. Collaboration with external parties
*** Permits are required for the:
- supply of controlled military technology
- supply of controlled dual-use technology
- brokering of controlled military technology for a WMD or military end-use
Approval by the Minister for Defence is required when publishing controlled military technology. The Minister may also issue a notice to prohibit a dual-use publication or brokering activity if they reasonably believe that it would prejudice Australia’s security or international obligations.
Impacts
An offence is committed when a person does not do the following not in accordance with a permit or approval:
(a) supply DSGL technology;
(b) arrange for other persons to supply goods in the Defence and Strategic Goods List or to supply DSGL technology;
(c) publish DSGL technology in Part 1 of that list.
Chapter 2 of the Criminal Code applies to all offences against this Act, and penalties include imprisonment for 10 years or 2,500 penalty units, or both.
Offence provisions will come into force at the end of the agreed transition period.
Responsible Manager
Chris Armstrong, Deputy Vice-Chancellor Research
Coordinating Officer
Kath Dougall, Senior Manager, Research Grants
Coordinating Unit
Research Services
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Collaborative Research Rule
Research UNE Deposit, Collection and Access Rule
Code of Conduct for Research Rule
Policy
Knowledge Assets and Intellectual Property Policy
Open Access to UNE Research Publications and Data Policy
Research Data Management Policy
Procedure
Open Access to UNE Research Publications and Data Procedures
Guideline
None
Other Websites
UNE Research Services - National Policies and Guidelines
Compliance Overview