COMPLIANCE ASSESSMENT FORM Australian Export Controls

Transcription

1 This checklist MUST be completed for all research (staff and students) that may involve the export (physical and intangible) of technology listed on the Defence and Strategic Goods list (DSGL). It is the responsibility of the researcher (staff) or in the case of students, the supervisor of the student researcher to complete this document and to provide it to the relevant Associate Dean (Research). Comments or feedback about this document may be directed to the Manager - Compliance, Complaints and Integrity at [email protected]. BACKGROUND Australia s export control system 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, 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 In order to strengthen Australia s export controls, the Defence Trade Controls Act 2012 (DTC Act) put in place new measures to control the intangible supply of defence and strategic goods list technologies. The DTC Act regulates three main activities: 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 More information about Defence Trade Controls is available from the Defence Export Control Office (DECO) at the Department of Defence RESEARCH APPROVAL The research activity shall not proceed without the formal signoff of the Associate Dean (Research) of the relevant School. The Associate Dean (Research) of the relevant School shall complete section F of this document and make a recommendation with regard to how the research activity should be managed. SECTION A: RESEARCHER DETAILS (To be completed by Researcher or Supervisor) Staff ID #: Student ID #: Family Name Given Name(s) School / Centre SECTION B: RESEARCH/PROJECT DETAILS (To be completed by Researcher or Supervisor) B1: Name/Title of Proposed Project B2: Intended Area of Research please attach another sheet if necessary Page 1 of 13

2 B3: External Organisations COMPLIANCE ASSESSMENT FORM Does the proposed project involve or require any external organisations (ie in terms of funding, intellectual property, research collaboration, deliverables, access to information etc)? If yes please provide details No Sign document and provide to the Associate Dean Research of the School. Yes Complete Section C. SECTION C: DSGL SEARCH (To be completed by Researcher or Supervisor) The Defence Export Control Office (DECO) has developed a DSGL Search Tool to assist researchers and research institutions in determining whether goods, software or technology are listed in the DSGL. C1: List the goods, software or technology that form part of the research activity: a. b. c. d. e. C2: Complete the online DSGL Search Tool for every item listed in C1, print the results and attach to this document. C3: Did the results of the online DSGL Search Tool find that any of the planned research goods, software or technology items are listed in the DSGL? No Sign document and provide to the Associate Dean Research of the School. Yes - Complete C4 and Section D. Page 2 of 13

3 C4: List the research goods, software or technology items that were found to be listed in the DSGL? a. b. c. d. e. SECTION D: RESEARCH ACTIVITY ASSESSMENT (To be completed by Researcher or Supervisor) The Defence Export Control Office (DECO) has developed a self-assessment Tool, the Activity Questionnaire to assist researchers and research institutions in determining whether an export, supply, brokering or publishing activity is controlled. D1. SUPPLY Supply occurs when a 'person' in 'Australia' provides Defence and Strategic Goods List (DSGL) Technology - 'DSGL technology' - to another person outside of Australia. Examples of 'Supply' include supply via or fax, or by providing someone outside of Australia with passwords to access controlled technology stored electronically. D1 (a). Are you supplying "software" or "technology" to a person or entity outside Australia? Methods of supplying software or technology can include, but are not limited to: , fax, electronic messaging (SMS, MMS), Page 3 of 13

4 uploading software or technology to a server, document sharing or online collaboration tools, or cloud computing No continue to D2. Yes Complete D1(b) Unsure Complete D1(b) COMPLIANCE ASSESSMENT FORM D1 (b). Complete the DECO Activity Questionnaire, print the results and attach to this document. D1 (c). Did the results of the Activity Questionnaire, indicate that the planned activity is controlled? No Yes Continue to D2 D2. Publication Publication is when Defence and Strategic Goods List (DSGL) Technology - 'DSGL technology' - is made available to the public or to a section of the public via the internet or otherwise. Publication controls apply to anyone in 'Australia', or an Australian citizen or resident or Australian organisation located anywhere in the world. The publication of Part 1 (Munitions List) DSGL technology is regulated and requires approval from the Defence Export Control Office (DECO) before publication can occur. The publication of Part 2 (Dual-Use List) DSGL technology is not regulated; no approval is required from DECO. D2 (a). Are you placing "software" or "technology" in the public domain? In the public domain means technology or software which has been made available without restrictions upon its further dissemination (copyright restrictions do not remove technology or software from being in the public domain). You can place software or technology in the public domain by publishing DSGL technology on a website, in a journal or newspaper. No - continue to D3. Yes - Complete D2(b) D2 (b). Complete the Publication section of the Activity Questionnaire, print the results and attach to this document. D2 (c). Did the results of the Activity Questionnaire, indicate that the planned activity is controlled? No Yes Continue to D3 D3. Brokering A broker is a person located in Australia (or an Australian citizen or permanent resident located outside Australia) who acts as an agent or intermediary to arrange the transfer of DSGL items between two or more persons located outside Australia, and who receives money or non cash benefit for the brokering activity, or advances their political, religious or ideological cause through the brokering activity. A non cash benefit means property or services in any form other than money. Example 1 An Australian company has sold goods to a foreign purchaser and those goods subsequently malfunction. If the Australian company arranges for the supply of a replacement part from a third country to the foreign purchaser, then this is brokering. Page 4 of 13

5 Example 2 COMPLIANCE ASSESSMENT FORM A company s Australian office receives an order from an overseas entity for a good but it is unable to fulfil the order. The Australian office may pass the order to another part of the organisation, located overseas. D3 (a). Are you arranging for the supply of "goods", "software" or "technology" from one place overseas to another place overseas? The arrangement must be for the goods, software or technology to be supplied by way of sale, exchange, gift, lease, hire or hire-purchase. This also includes intra-country arrangements. No - continue to D4. Yes - Complete D3(b) D3 (b). Complete the Brokering section of the Activity Questionnaire, print the results and attach to this document. D3 (c). Did the results of the Activity Questionnaire, indicate that the planned activity is controlled? No Yes Continue to D4 D4: Export The Customs (Prohibited Exports) Regulations 1958 control the export of defence and dual use goods. The Defence and Strategic Goods List (DSGL) identifies the goods which Regulation 13E prohibits from being exported from Australia without a license or permit. D4 (a). Are you exporting "goods", "software", or "technology" in tangible form from Australia? No Yes Complete D4(b) D4 (b). Complete the Supply section of the Activity Questionnaire, print the results and attach to this document. D4 (c). Did the results of the Activity Questionnaire, indicate that the planned activity is controlled? No Yes Continue to Researcher or Supervisor Declaration Page 5 of 13

6 SECTION E: RESEARCHER or SUPERVISOR DECLARATION Declaration: I declare that the information provided in this document and any attachments are true and correct. I am aware that there are severe penalties for breaches of the Defence Trade Controls Act 2012 and that any wilful misrepresentations made in this document and any attachments may be deemed breaches of the ECU Code of Conduct. DTC Training: I have completed the ECU DTC Training module: No Yes School: SECTION F: ASSOCIATE DEAN (RESEACH) OF SCHOOL RECOMMENDATION Based on the information provided within these documents and the attachments I recommend that: The research activity does not seem to be captured by the Defence Trade Controls Act 2012 and may continue. The research activity may be captured by the Defence Trade Controls Act 2012 and should be referred to the Defence Export Control Office via the Office of Research and Innovation to obtain an assessment with regard to whether the research is captured by the DTC Act (complete Appendix A). School: Record Keeping: SUB/ This document to be kept by the School on a HPRM file. Page 6 of 13

7 APPENDIX A SECTION 1: DEFENCE EXPORT CONTROL OFFICE ASSESMENT If the Associate Dean (Research) of the School recommends that the research activity may be captured by the Defence Trade Controls Act 2012 and should be referred to the Defence Export Control Office, the Compliance Assessment Form and any attachments must be sent to the Manager, Research Support within the Office of Research and Innovation for referral to the Defence Export Control Office to obtain an assessment with regard to whether the research is captured by the DTC Act. Researchers and Supervisors are not to contact DECO out of their own volition. Office of Research and Innovation: Acknowledgement of Receipt of Documentation: Position: SECTION 2: DIRECTOR OFFICE OF RESEARCH AND INNOVATION RECOMMENDATION The Defence Export Control Office has assessed that the research is not captured by the DTC Act and it is recommended that the research activity may continue. The Defence Export Control Office has assessed that the research is captured by the DTC Act and it is recommended that the research activity ceases until a permit is obtained from DECO. Position: Director Office of Research and Innovation Page 7 of 13

8 SECTION 3: ASSOCIATE DEAN (RESEARCH) OF SCHOOL RECOMMENDATION The Defence Export Control Office has assessed that the research is not captured by the DTC Act and it is recommended that the research activity may continue. The Defence Export Control Office has assessed that the research is captured by the DTC Act and it is recommended that the research activity ceases and an application is made for a permit via the Office of Research and Innovation. The Defence Export Control Office has assessed that the research is captured by the DTC Act and it is recommended that the research activity ceases. School: PERMIT APPLICATION SECTION 4: DIRECTOR OFFICE OF RESEARCH AND INNOVATION RECOMMENDATION The Defence Export Control Office has authorised a permit for the research and the research activity may continue subject to the conditions of the permit. Permit attached. The Defence Export Control Office has not authorised a permit for the research and it is recommended that the research activity be ceased. Permit Number: Position: Director Office of Research and Innovation Page 8 of 13

9 SECTION 5: ASSOCIATE DEAN (RESEARCH) OF SCHOOL Research activity may continue (permit granted). Research activity to cease (permit not granted). School: Record Keeping: SUB/ This document to be kept by the School on a HPRM file. Page 9 of 13

10 APPENDIX B DEFENCE AND STRATEGIC GOODS LIST (DSGL) QUICK REFERENCE GUIDE On advice from DFAT, graduate research degree projects involving nationals of the 13 countries referred to in the Compliance Assessment Form (UNSC and Autonomous Sanctions) should be assessed to determine whether they provide technical assistance or training that assists with the manufacture, maintenance or use of certain controlled goods. There is no single list of controlled goods, however, which applies to the sanctioned countries. Rather, Australian law gives effect to a variety of export control regimes including those related to arms and related materiel in the Charter of the United Nations Regulations and the Autonomous Sanctions Regulations. There are, in addition, country specific sanctions, regulations and controlled goods. To assist with the special assessment of graduate research degree applications, DFAT has indicated that the Defence and Strategic Goods List may be used as a proxy, in the first instance, for a comprehensive controlled goods list. Below is a Quick Reference Guide, in two parts, which should be used to answer Section C, Question 4 of the Compliance Assessment Form: UNSC and Autonomous Sanctions for Graduate Research Admissions. Please note that the Part 1 Munitions List is included here for comprehensiveness. The vast majority of controlled goods relevant to research projects carried out at the University will appear on the Part 2 Dual Use Goods List. The full DSGL is available at and may be consulted if staff assessing an application would like more detailed information on any of the goods listed in the Quick Reference Guide. PART ONE MUNITIONS LIST Military Goods ML1 ML2 ML3 ML4 ML5 ML6 ML7 Smooth bore weapons calibre <20mm Other weapons calibre 12.7mm (calibre 0.50 inches) Components and accessories Smooth bore weapons >20mm Other weapons calibre > 12.7mm (calibre 0.50 inches) Components and accessories Ammunition and components for ML1, ML2 & ML12, Fuze settings for ML3 Bombs, torpedoes, rockets, missiles,, other explosive devices and charges, components and accessories Equipment for launching, deploying, decoying, disruption, detection and jamming Fire control systems, components and accessories and their countermeasure equipment Radar, surveillance, tracking systems, and their countermeasure equipment Ground vehicles and components Chemical or biological toxic agents, riot control agents, radioactive materials, related equipment, components, and materials Page 10 of 13

11 ML8 ML9 ML10 ML11 ML12 ML13 ML14 ML15 ML16 ML17 ML18 ML19 ML20 ML21 ML22 Energetic materials (explosives & chemicals) and related substances Vessels of war, special naval equipment, accessories and components Aircraft, unmanned airborne vehicles, aero-engines and aircraft equipment, and related equipment and components Electronic equipment not controlled elsewhere in the Munitions List specially designed for military use High velocity kinetic energy weapon systems and related equipment Armour plate, body armour, and helmets and components Simulators and training equipment Imaging, infrared, thermal imaging and image intensifier equipment, and cameras Forgings, castings and other unfinished products specially designed for any products controlled by ML1 - ML4, ML6, ML9, ML10, ML12 or ML19. Miscellaneous goods, including diving equipment, robots, ferries, containers specially designed or modified for military use, goods treated for or providing signature suppression Production and test equipment Directed energy weapon systems, countermeasure and related equipment, (e.g. lasers and particle beam systems) Cryogenic and superconductive equipment, as follows, and specially designed components and accessories Software for listed goods Technology for listed goods Non-Military Goods ML901 ML902 ML904 ML905 ML908 ML909 ML910 Non-military firearms including rifles, carbines, muskets, pistols, revolvers, shotguns, and smooth bore weapons, not specified ML1 Ammunition, projectiles and specially designed for ML901 Accessories, including silencers, mountings, magazines, sights, flash suppressors, for ML901 Air guns, with specific characteristics Energetic materials other than those in ML8, excluding those specially formulated for toys, novelty goods and fireworks Detonators or other equipment for the initiation of non-military energetic materials specified in Item ML908 Charges and devices containing energetic material specified in ML908 Page 11 of 13

12 PART TWO DUAL USE GOODS COMPLIANCE ASSESSMENT FORM 0 Nuclear Materials; Facilities and Equipment Nuclear reactors, gas centrifuges, and equipment and materials especially designed for nuclear use 1 Materials, Chemicals, Micro-organisms and Toxins Toxic chemicals, viruses, bacteria, protective and detection equipment, body armour, radiation shielding windows, and metal powder production equipment 2 Materials Processing Crucibles, valves, robots, vibration test systems, vacuum pumps, chemical processing, and handling equipment 3 Electronics Microwave components, acoustic wave devices, high energy devices, switching devices, and detonators 4 Computers Radiation hardened computers, neural and optical computers, and related equipment. 5 Telecommunications and Information Security Part 1 Telecommunications. Telecommunications systems, optical fibre cables, radio equipment, jamming equipment, and telemetry and telecontrol equipment Part 2 Information Security (Cryptography). Cryptographic equipment, and communications cables systems 6 Sensors and Lasers Marine acoustic systems, hydrophones, imaging cameras, optical mirrors, lasers, and magnetometers 7 Navigation and Avionics Gyros, accelerometers, inertial navigation systems, and flight control systems 8 Marine Submersible vehicles, remotely controlled manipulators, underwater vision systems, noise reduction systems, and air independent power systems 9 Aerospace and Propulsion Aero gas turbine engines, rocket propulsion systems, UAVs, rocket motors, ramjet engines, sounding rockets, and acoustic vibration test equipment Note 1 - Each of the above Dual-Use Goods categories (0-9) has the following divisions: A Systems, Equipment and Components B Test, Inspection and Production Equipment C Materials D Software E Technology Page 12 of 13

13 Note 2 - Materials, software and technology related to controlled goods are also controlled. Note 3 - Terms with specific meaning are enclosed in double quotation marks where they appear throughout the DSGL document. An index of these terms appears in the front pages of the full DSGL document available at Background Information The DSGL is identified in regulation 13E of the Customs (Prohibited Exports) Regulations 1958 as the document titled Defence and Strategic Goods List : (a) formulated and published for the purpose of paragraph 112 (2A) (aa) of the Customs Act 1901 by the Minister for Defence; and (b) dated November 1996; (c) as amended by the Minister for Defence and in force from time to time. The up to date DSGL is available at Goods included in the list may not be exported from Australia unless a licence or permission has been granted by the Minister or an authorised person and that licence or permission is produced to a Collector of Customs before exportation. In addition, the Australian Autonomous Sanctions regime prohibits the provision of training to nationals of sanctioned countries in how to use, manufacture or maintain certain controlled goods, or how to improve the goods use, manufacture or maintenance. The Department of Foreign Affairs and Trade (DFAT) has determined that graduate research training may pose a higher than normal risk of breaching Autonomous Sanctions regulations in these areas. Page 13 of 13