Director, Office of Research Ethics and Integrity
Vice-Chancellor and President
Date of Next Review
2.5.3 Roles and responsibilities
2.5.5 Compliance and breach policy
2.5.6 Recordkeeping and monitoring
QUT is committed to becoming a research-intensive university and to strengthening international collaboration in research.The purpose of this policy is to outline how in pursuing this, QUT seeks to ensure its research activities comply with trade control legislation, including obtaining necessary notices, permits and approvals for the export of tangible and intangible goods, software and technologies listed on the Defence and Strategic Goods List (DSGL) or where otherwise required by trade control laws.
All QUT staff, students, and any individual undertaking (or associated with or involved in) research activities, including collaboration and engagement activities associated with QUT research must comply with this policy and the compliance framework, which includes the Internal Compliance Plan and associated procedures.
Deputy Vice-Chancellor and Vice-President (Research and Innovation)
Vice-President (Technology) and Chief Information Officer
|Pro Vice-Chancellor (Graduate Research and Development)||
|Executive deans, heads of school, associate deans (research) and institute executive directors||
|Executive Director, Office of Research Services||
|Director, Office of Research Ethics and Integrity||
|Director, Information Technology Services||
|Project supervisors and researchers||
The Customs Act 1901 and the Defence Trade Controls Act 2012 support Australia's international obligations to meet strengthened export controls and to prevent technology that can be used in conventional and weapons of mass destruction programs, from getting into the wrong hands.
The University and staff are required to be compliant with this legislation and researchers at QUT are required to apply for a permit for the tangible export and/or intangible transfer or supply (via email, fax and electronic file transfer) or the brokering of technology listed in the Defence and Strategic Goods List (DSGL).
QUT researchers, undertaking research in particular disciplines will need to be aware and vigilant about their obligations and responsibilities, in particular the need to apply for a permit where their exporting activities may expose them to potential criminal penalties.
Notices, permits and approvals
QUT’s obligation is to comply with the requirements for the export, supply, publication or brokering of tangible and intangible goods, software and technologies, or the provision of certain services, as required by trade controls laws.
Arrangements for complying with this policy are to be in accordance with the Internal Compliance Plan Standard Operating Procedures.
Breaches of policy, and any procedures approved in accordance with the policy should be reported to the Director, Office of Research Ethics and Integrity.Breaches of this policy are considered to be a breach of QUT’s Code of Conduct for Research or other student or staff code of conduct and may have consequences for QUT and individuals under criminal or civil provisions of trade controls laws or general law.
The Director, Office of Research Ethics and Integrity must keep records of all notices, permits or approvals issued to QUT by the Australian Government and be able to readily produce these records for internal audits conducted under the Internal Compliance Plan (or otherwise) or external audits conducted by the Australian Government.Records must be maintained in the corporate records system in accordance with the university’s Records management policy (F/6.1).
An annual report on QUT’s compliance with trade controls laws will be made to the University.External reporting may be required to comply with the terms and conditions of any licence, permit, notice or approval issued by the Australian Government.
Defence and Strategic Goods List (DSGL) means the compilation of munitions (military) and dual use goods, software or technologies that are regulated when exported, supplied, published or brokered, as updated from time to time.The DSGL is defined into two separate parts:
Part 1: lists the munitions (military) items; and
Part 2: lists dual use items that may be used for commercial purposes but which may also be used in military systems or for weapons of mass destruction programs.
Internal Compliance Plan (ICP) is the QUT Trade Controls Internal Compliance Plan Standard Operating Procedures.
Technology Control Plan (TCP) is a documented and approved plan for the management of controlled activities for specific research projects that includes information security management for the transmission, storage and classification of information and technologies.
Trade controls laws are a system of laws and regulations prohibiting the unlicensed export, supply, publication, brokerage and import of controlled goods technologies, services, and software for reasons of national security, foreign policy and economic protection. They are underpinned by the following legislative controls:
- Autonomous Sanctions Act 2011 (Cth)Customs Act 1901 (Cth)
- Charter of the United Nations Act 1945 (Cth)
- Defence Trade Controls Act 2012 (Cth)
- Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (Cth)
- Export Administration Regulations (EAR) USA
- International Traffic in Arms Regulations (ITAR) USA
MOPP A/1.3 Compliance
MOPP A/2.5 Risk management
MOPP B/8.1 QUT Staff Code of Conduct
MOPP D/2.3 Research governance framework
MOPP D/2.6 QUT Code for responsible conduct of research
MOPP D/2.8 Management of research data
MOPP F/1.2 Information security
MOPP F/1.9 Corporate information asset management
MOPP F/6.1 Records management
Autonomous Sanctions Act 2011 (Cth)
Charter of the United Nations Act 1945 (Cth)
Customs Act 1901 (Cth)
Defence Trade Controls Act 2012 (Cth)
Export Administration Regulations (EAR) USA
International Traffic in Arms Regulations (ITAR) USA
Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (Cth)
|09.01.19||All||Director, Governance and Legal Services||Policy revised to include approved position title change from assistant dean/s to associate dean/s|
|12.12.18||D/2.5.3||Deputy Vice-Chancellor (Research and Commercialisation)||Revised to include department name change to Office of Research Services|
|09.03.17||All||Director, Office of Research Ethics and Integrity/University Research and Innovation Committee||Policy revised to include minor changes to nomenclature and clarification of definitions and obligations|
|15.04.16||D/2.5.2||Director, Office of Research Ethics and Integrity||Policy revised to provide an overview outlining the University's approach to trade controls|