Critical incident 21/09/21
Ballarat and Berwick campuses are closed until Thursday 23 September. Click here for more information.

Research Integrity and Compliance

Research Export Controls Policy

Policy Code: RS2049

Purpose

The Research Export Controls Policy details the essential aspects of export control laws and Federation University’s commitment to comply with those laws. 

The policy provides information to researchers who work with, or have the potential to work with, Defence and strategic goods, technology and software.

Scope

This policy applies to all Federation University Australia staff and students who work with, or have the potential to work with, Defence and strategic goods, technology and software. This includes affiliates of, and any other individual associated with, the University.

Definitions

TERM DEFINITION
Australian General Export Licence (AUSGEL) Licence issued by the Australian Government Department of Defence enabling the export of a range of controlled goods, software and technologies to certain countries for certain purposes. AUSGELs are valid for five years.
Brokering Occurs when a person or organisation acts as an agent or intermediary in arranging the supply of DSGL goods, software and technology between two places located outside of Australia. For the activity to be considered brokering, the person must receive money or a non-cash benefit for arranging the supply.
Defence and Strategic Goods List (DSGL) Australia’s export control list of regulated defence and strategic goods, technology and software. Part 1 lists military items and Part 2 lists dual-use items that may be used for commercial and research purposes but may also be used in military systems or for weapons of mass destruction.
Export Controls Collective term for all legislation used by governments to manage the trade of sensitive goods and technology. In the Australian context it includes the Customs Act 1901, the Defence Trade Controls Act 2012, the Weapons of Mass Destruction (Prevention of Proliferation) Act 1995, and Military End-Use provisions (Section 112BA) and Sanctions.
Intangible export Any controlled goods that leave Australia electronically rather than in a physical form with an intention to be landed outside Australia. This includes goods sent for personal use, sale, demonstration, repair or return to the manufacturer.
In the public domain Technology or software which has been made available without restrictions upon its dissemination. Copyright restrictions do not remove technology or software from being in the public domain.
Publication Occurs when DSGL technology is made available to the public or to a section of the public via the internet or otherwise without access restrictions. Publication controls apply to anyone in Australia, or an Australian citizen or resident or Australian organisation located anywhere in the world. Having to pay to view the information is not an access restriction.
Regulator The Australian Government Department of Defence and its Defence Export Controls Office.
Supply Occurs when a person in Australia provides DSGL technology to another person outside of Australia. If access to the DSGL technology is controlled or restricted to particular users or groups, it has not been placed 'in the public domain', and is therefore a supply. Examples of supply include supply via email or fax, or by providing someone outside of Australia with passwords to access controlled technology stored electronically.
Tangible export Any controlled goods that leave Australia in physical form, with an intention to be landed outside Australia. This includes goods sent for personal use, sale, demonstration, repair or return to the manufacturer, and controlled technology stored on a physical medium, such as a USB drive, computer hard drive or CD, outside of Australia.
Technology Specific information necessary for the development, production or use of a product. This information takes the form of technical data or technical assistance.

Policy Statement

Export control laws regulate the export of defence and strategic goods, technology and software.  This includes the transmission and publication of certain controlled information.

While research or teaching activities may not be specifically related to weapons or defence, they may involve defence and strategic goods, technology or software.  Publication of, or export of these items from Australia to a place outside Australia requires a permit.

Federation University is committed to full compliance with all export control laws that apply to its research, academic and business activities.

Export Control Laws

Australia’s export controls legislation affects the tangible and intangible export of defence and related goods and dual use good and technologies.  Where there is:

  • A tangible or intangible export from Australia to a place outside Australia of items or technology on the Defence and Strategic Goods List (DSGL)
  • Publication of military use technology on the DSGL
  • Brokering overseas supply of military use items or technology on the DSGL. 

Anyone involved in the conduct of research associated with Federation University must be aware of and comply with Australian export controls legislation.

The Defence and Strategic Goods List (DSGL) is a legislative instrument that is amended from time to time to reflect changes in the various multilateral non-proliferation and export control regimes of which Australia is a member.  The DSGL can be accessed online here.  The DSGL is divided into two parts.

PART 1 is the Munitions List which lists certain goods and technologies designed or adapted for military use or goods that are inherently lethal.  It has two categories:

  • Military Goods
  • Non Military Lethal Goods.

PART 2 is the Dual-Use List which lists equipment and technologies developed to meet commercial needs but which may be used either as military components or for the development or production of military systems or weapons of mass destruction.  It has ten categories:

  • Nuclear Materials, Facilities and Equipment
  • Materials, Chemicals, Microorganisms and Toxins
  • Materials Processing
  • Electronics
  • Computers
  • Telecommunications and Information Security
  • Sensors and Lasers
  • Navigation and Avionics
  • Marine
  • Aerospace and Propulsion

An export occurs when defence and strategic goods, technology and software are moved from Australia to a place outside Australia.  Exports can be tangible or intangible and may require a permit or approval.

Tangible Export

A tangible export is a physical export of defence and strategic goods, technology and software – for example items exported by ship, aircraft, post or courier or carried in checked in or hand held luggage.  A tangible export can be in the form of technology stored on a physical medium such as a CD, DVD, USB or computer hard drive or in the form of blueprints, diagrams or notes.

Goods included in the DSGL may not be exported from Australia in tangible form unless a licence or permission has been granted by the Minister for Defence, or an authorised person, and that licence or permission is produced to a Collector of Customs before exportation.

Intangible Export

Intangible DSGL technology includes information relating to the design, development and modification of goods and includes for example blueprints, drawings, algorithms or software.

An intangible export occurs when a person in Australia supplies or provides a person located outside Australia with access to DSGL Technology – for example by email, fax, telephone, video conferencing, presenting at a conference or providing a password to access electronic files.

Export of such items is controlled by the issue of permits where applicable and it is an offence to export without the appropriate permit or licence.  Such export may be supplying DSGL technology from a place in Australia to a place outside Australia. 

Publishing and Brokering:

There are also offences for:

  • Publishing DSGL military use technology, and
  • Arranging for (or ‘brokering’) other persons to perform the overseas supply of military use DSGL items or military use DSGL technology.

There are exceptions in the legislation including technology that is already in the public domain or that is for basic scientific research.

Supply

Occurs when a person in Australia provides DSGL technology to another person outside of Australia. If access to the DSGL technology is controlled or restricted to particular users or groups, it has not been placed 'in the public domain', and is therefore a supply. Examples of supply include supply via email or fax, or by providing someone outside of Australia with passwords to access controlled technology stored electronically.

Offences

The export of defence and strategic goods, technology and software, or the supply or publication of technology listed in the DSGL, or the brokering of defence and strategic goods, technology and software without a permit constitutes and offence.

It is also an offence to supply technology listed in the DSGL outside the terms of a permit.

Individuals face significant penalties for failure to comply with the legislation.

Compliance Responsibility

The University is required to:

  • Develop and implement policy and procedures to ensure compliance with Australian export controls laws.
  • Provide training and support for researchers to ensure compliance with Australian export controls laws.

Researchers are required to:

  • Comply with Australian export controls laws by assessing whether their teaching or research involves controlled items, and identifying whether permits may be required in accordance with this policy and the supporting procedure. Researchers should use the Online DSGL Tool to establish whether a permit is required to export, supply, publish or broker controlled goods, software of technology.
  • Individual researchers must follow the process detailed in the Research Export Controls Procedure.

Responsibility

  • The Deputy Vice-Chancellor, Research & Innovation (as the Approval Authority) is responsible for monitoring the implementation, outcomes and scheduled review of this policy and its accompanying procedures.
  • The Director, Research Enterprise & Innovation (as the Policy Sponsor) is responsible for maintaining the content of this policy as delegated by the Deputy Vice-Chancellor, Research & Innovation.

Promulgation

This policy will be communicated throughout the University via:

  1. A FedNews announcement and on the ‘Recently Approved Documents’ page on the University’s Policy Central website
  2. Distribution of e-mails to Deans.

Implementation

This policy will be implemented throughout the University via:

1.   A FedNews announcement and on the ‘Recently Approved Documents’ page on the University’s Policy Central website.