Export controls
Export controls refers to the control of the supply, export, publication or brokering (engaging a third party to act on your behalf) of military and dual-use goods and technology. Australia’s export controls include the physical export of controlled goods and technology from Australia*.
- The intangible transfer (e.g. emails) of controlled technology from Australia to overseas.
- The publishing of controlled military technology.
- The brokering of controlled military goods and technology.
It also includes ‘catch all’ (or ‘end-use’) controls.
Defence Export Controls (DEC) in the Department of Defence is Australia’s military and dual-use goods and technology export regulator. Regulating the exports of military and dual-use goods and technology achieves several objectives consistent with Australia’s national interest, including:
- Ensuring the security and capability edge of our war fighters.
- Minimising regional and international instability and conflict.
- Ensuring Australia upholds its international obligations through the responsible export of military and dual-use goods and technology.
- Preventing the illicit and irresponsible trade in conventional weapons and proliferation of weapons of mass destruction.
What are Sanctions?
Sanctions are measures, not involving the use of armed force, that are imposed in situations of international concern. Australia implements two types of sanctions:
- United Nations Security Council (UNSC) sanctions, which Australia must impose as a member of the UN.
- Australian Autonomous Sanctions, which are imposed as a matter of Australian foreign policy.
Australia currently implements the sanctions regimes shown on the diagram – for current list check here.
About the laws
- Australian sanctions laws apply to activities within Australia and to activities undertaken overseas by Australian citizens (and Australian‐registered bodies corporate).
- The Australian Sanctions Office (ASO) is the government regulator that administers Australian sanctions. The ASO sits under the Department of Foreign Affairs and Trade (DFAT).
- Different sanctions regimes impose different sanctions measures; the Minister for Foreign Affairs or the Minister's delegate may be able to grant a permit authorising an activity that would otherwise contravene an Australian sanctions law.
- It is a serious criminal offence to contravene a sanctions measure (or a condition of a sanctions permit). The penalties include up to ten years in prison and substantial fines.
- Other countries can also implement specific sanctions measures, so for overseas collaborations or travel you need to check these with the appropriate government regulator.
What are sanctions measures?
- Sanctions generally impose restrictions on trade in certain goods and services. Services can include supervision of HDR students, staff or visiting academics from sanctioned regimes. The restrictions involve an assessment of DSGL or sensitive/emerging/critical technologies.
- When looking at business partners/collaborators from sanctioned regimes, you also need to consider any financial sanctions.
- There are different sanctions depending upon the regime (each regime has it’s own sanctioned list/s of items, some are additional to the DSGL) – search the specific Sanctions here.
- Some of the dual-use Defence Export Controls (DEC) exemptions may apply for public domain information and basic scientific research – this will be part of your sanctions risk assessment.
- Sanctions measures and risks are reduced for Permanent Residents and Citizens of Australia
What does this mean for your research?
Firstly you need to check the names of applicants (individuals, institutions and/or businesses), regardless of their country, on the Consolidated List – this applies to all staff, visitors, collaborators, funders etc. If the individual or their associated institution/s, employers or sponsors are listed please cease to engage them and contact exportcontrol@griffith.edu.au immediately. Note that for HDR student applications from sanctioned regimes the Consolidated List searches are conducted by GGRS.
For all international collaborations/arrangements with individuals or entities located overseas – complete the International Engagement Checking Tool which can be found in the Secure Global Engagements hub.
HDR Students from sanctioned regimes
Supervising a HDR student who is a citizen of a listed country under any of the sanctioned regimes could potentially be provision of a sanctioned service.
- If you would like to recruit a HDR student from a sanctioned country, once the application is lodged to GGRS and progressed for academic assessment, the HDR Convenor will direct supervisors to complete the sanctions compliance risk assessment form. HDR Convenors will help with the process and approvals from the Dean (Research) as required.
- If you are planning or are in the process of recruiting a HDR student from a sanctioned country, you need to take into account that a DFAT student visa will be required.
- DFAT permissions can take from 6 weeks to 12 months – and their answer can be “No”.
- Any changes to the HDR project during the life of the candidature is strongly discouraged as the DFAT student visa will also require reassessment.
- Supervisors will need to have a local process in place for ensuring that HDR students from sanctioned countries will be restricted from accessing certain controlled equipment, materials, software, technology or datasets while at Griffith. Please contact Export Control to learn more about the assessments of these controlled equipment, materials, software, technology or datasets if there is a student from a sanctioned country working in a laboratory.
Staff or Visitors from sanctioned regimes
- Applications go through the HR recruitment system and the sanctions risk assessment is triggered through that system.
Supervisors will need to have a local process for ensuring that the staff or visitor will be restricted from accessing certain controlled equipment, materials, software, technology or datasets while at Griffith.
Useful Links
Griffith HDR Sanctions Compliance Risk Assessment FORM
HDR Applicants Sanctions and Export Controls Compliance Procedure
Sanctions Assessment search guide
DFAT Sanctions regimes information
DSGL Self-Assessment Search Guide
Where to go for help
For Sanctions assessments with respect to the DSGL contact Peter Wilson, Export Control and Security Manager on (07) 3735 4105 (exportcontrol@griffith.edu.au)
For assistance with the HDR application process contact GGRS (hdr-enquiry@griffith.edu.au) and for assistance with the sanction assessment process contact your HDR Convenor or Dean (Research).
For enquiries regarding staff or visitor recruitment please contact HR (hrandssafety@griffith.edu.au).
Main contacts
For HDR applications, contact hdr-enquiry@griffith.edu.au. For Sanction assessments, contact (07) 3735 3592