Manual of Policies and Procedures

D/2.5 Trade controls for goods, software, technologies and services

Contact Officer

Director, Office of Research Ethics and Integrity

Approval Date

09/03/2017

Approval Authority

Vice-Chancellor and President

Date of Next Review

01/03/2020

2.5.1 Purpose
2.5.2 Application
2.5.3 Roles and responsibilities
2.5.4 Obligations
2.5.5 Compliance and breach policy
2.5.6 Recordkeeping and monitoring
2.5.7 Reporting
2.5.8 Definitions
2.5.9 Delegations
Related Documents
Modification History

2.5.1 Purpose

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.

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2.5.2 Application

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.

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2.5.3 Roles and responsibilities

Position
Responsibility

Deputy Vice-Chancellor and Vice-President (Research and Innovation)

  • oversees QUT’s compliance with trade controls laws, the establishment of an associated compliance framework and the approval of the Internal Compliance Plan

Vice-President (Technology) and Chief Information Officer

  • ensures provision of infrastructure, networks or servers, and technical support, to protect technologies and software which is subject of a permit, license or approval issued by the Australian Government
Pro Vice-Chancellor (Graduate Research and Development)
  • ensures Higher Degree Research students are properly trained in compliance obligations relation to trade controls laws and screening of Higher Degree Research students who may be subject to controls
Executive deans, heads of school, associate deans (research) and institute executive directors
  • review and endorse Technology Control Plans
Executive Director, Office of Research Services
  • ensures commercial contracts, agreements or arrangements include compliance with trade control laws
  • ensures research funding agreements include compliance with trade control laws
Director, Office of Research Ethics and Integrity
  • implements and provides training of QUT’s compliance framework for trade controls laws
  • reviews all submitted Technology Control Plans
  • provides an annual report on QUT’s compliance with these laws to the University
Director, Information Technology Services
  • oversees the provision of services for information security management required under a Technology Control Plan
Project supervisors and researchers
  • understand the control status of goods, software and technologies listed on the Defence and Strategic Goods List (or as otherwise required by trade controls laws) and services
  • obtain the requisite or relevant, permit, license or approval before any export, supply, publication, brokerage or provision of services takes place; and
  • keep records of supply or arrangements for other person(s) to supply, goods, software or technologies, listed on the Defence and Strategic Goods List (or as otherwise required by trade controls laws) for the duration of the research project and for five (5) years following completion of the project

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2.5.4 Obligations

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.

QUT researchers exporting, supplying, publishing or undertaking brokering activities in relation to tangible or intangible goods and technologies, or providing services are subject of trade controls laws. QUT Chief Investigators/Principal Investigators must obtain the relevant licence, permit, notice or approval from the Australian Government and comply with the terms and conditions of that licence, permit, notice or approval.

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2.5.5 Compliance and breach of policy

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.

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2.5.6 Recordkeeping and monitoring

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).

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2.5.7 Reporting

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.

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2.5.8 Definitions

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

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2.5.9 Delegations

Refer to Appendix 3 Schecule of Authorities and Delegations (VC190).

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Related Documents

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

QUT Trade Controls Internal Compliance Plan and Standard Operating Procedures

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)

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Modification History

Date Sections Source Details
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
31.03.16 All Vice-Chancellor New policy
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

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