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

Policy Owner	Director, Office of Research Ethics and Integrity
Approval Date	22/07/2020
Approval Authority	Vice-Chancellor and President
Date of Next Review	30/07/2023

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 these aims, QUT ensures that its research activities comply with trade controls legislation.

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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, engagement and procurement activities associated with QUT research must comply with this policy and the compliance framework, which includes the Trade Controls Internal Compliance Plan and associated guidelines and procedures.

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2.5.3 Roles and responsibilities

Position	Responsibility
Deputy Vice-Chancellor and Vice-President (Research)	establishes QUT’s compliance framework for trade controls laws approves and implements the Trade Controls Internal Compliance Plan
Director, Office of Research Ethics and Integrity (OREI)	implements and provides training in relation to QUT’s compliance framework for trade controls laws and ensures Higher Degree Research students are trained in relation to their obligations provides an annual report on QUT’s compliance with these laws to the University provides advisory support to organisational areas regarding defence trade controls laws where required
Chief Information Officer	ensures the provision of infrastructure, including networks, servers and licences oversees the provision of information security management for research applied technologies ensures technical support of QUT infrastructure
Director, Graduate Research Centre	oversees the screening and management of Higher Degree Research students who may be subject to sanctions controls
Executive deans, heads of school, associate deans (research)	review and endorse Technology and Goods Control Plans ensure relevant staff and students are trained in relation to trade controls provide the means to restrict access to projects and or premises where required under trade controls laws ensure that the procurement and use of goods within their area complies with trade controls laws
Executive Director, Office of Research Services	ensures contracts, agreements or arrangements include compliance with trade controls laws
Executive Director, Office of Industry Engagement	ensures industry engagement and commercialisation contracts, agreements or arrangements include compliance with trade controls laws
Project supervisors and researchers	contact the Research Regulatory Compliance Officer in the OREI when working with Defence and Strategic Goods List (DSGL) technology understand the control status of goods, software, technology and services related to their research projects obtain the requisite permit, license or approval before any export, supply, publication, brokerage, or provision of services takes place keep records of supply or arrangements for other person(s) to supply, goods, software or technology, 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 as per the Information Security provisions under the Technology and Goods Control Plan ensure staff, students and visitors are appropriately screened and aware of any relevant trade controls

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2.5.4 Obligations

Trade controls laws support Australia's international obligations to prevent goods, software and technology that can be used in conventional and weapons of mass destruction programs, from getting into the wrong hands. The University and its staff and students are required to be compliant with these laws.

QUT staff and students are required to apply for a Defence Export Controls (DEC) permit for any tangible export, intangible transfer or supply, or the brokering of goods, software and technology listed in the Defence and Strategic Goods List (DSGL).

QUT Chief Investigators/Principal Investigators must obtain the relevant licence, permit, notice or approval from the Australian Government (and for ITAR/EAR approvals the US government) and comply with the terms and conditions of that licence, permit, notice or approval.

QUT staff and students need to be vigilant about their obligations and responsibilities, in particular the need to apply for the appropriate permit, permission or approval where their export, supply, publication, training or brokering activities may expose them to potential criminal penalties.

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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 Trade Controls Internal Compliance Plan.

Breaches of policy, or procedures approved in accordance with the policy, should be reported to the Director, Office of Research Ethics and Integrity.

Breaches of this policy may be considered to be a breach of QUT’s Code for the responsible conduct of 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 notices, permits or approvals issued to QUT by the Defence Export Controls and be able to readily produce these records for internal audits conducted under the Trade Controls Internal Compliance Plan (or otherwise) or external audits conducted by the relevant regulators.

Records must be maintained in the corporate records system in accordance with the university’s Records governance 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.

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2.5.8 Definitions

Brokering means when a person or organisation acts as an agent or intermediary in arranging the 'supply' of Defence and Strategic Goods List (DSGL) goods, software and technology between two people and places located outside of Australia. For the activity to be considered brokering, the 'person' must receive money or a non-cash benefit or advance their political, religious or ideological cause for arranging the 'supply'.

Defence Export Controls (DEC) means the Australian Government Department of Defence, Defence Exports Controls office.

Defence and Strategic Goods List (DSGL) means the compilation of munitions (military) and dual use goods, software or technology 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.

Export means the tangible export of physical items out of the Australian border (this can include tangible forms of controlled technology such as on storage devices or paper).

Internal Compliance Plan (ICP) is the QUT Trade Controls Internal Compliance Plan.

Publication is when items on the Defence and Strategic Goods List (DSGL) are 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.

Supply is when someone in Australia provides technology included on the Defence and Strategic Goods List (DSGL) to another person outside of Australia. Examples include supply via email or fax, or by providing someone outside of Australia with passwords to access controlled technology stored electronically.

Technology means Defence and Strategic Goods List (DSGL) controlled specific information necessary for the development, production or use of a product. This information takes the form of technical data or technical assistance. Specified technology for the DSGL Dual‑Use (Part 2) List is defined in the General Technology Note and in the Dual‑Use List. Specified technology for the Munitions List (Part 1) is specified in the DSGL ML22.

Technology and Goods Control Plan (TGCP) 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 technology.

Trade controls laws are a system of laws and regulations prohibiting the unlicensed export, supply, publication, brokerage and import of controlled goods, technology, services, and software for reasons of national security, foreign policy and economic protection. They are underpinned by the following legislative instruments:

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 Register of Authorities and Delegations (VC190) (QUT staff access only).

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Modification History

Date	Sections	Source	Details
28.04.21	D/2.5.3	Director, Governance, Legal and Performance	Editoral amendments to position titles and responsibilities to align with Repositioning QUT for a post-COVID world organisational change - effective 31.01.21
22.07.20	All	Vice-Chancellor and President	Revised policy - additional definitions to provide clarity and roles and responsibilities updated in line with QUT Trade Controls Risk Awareness Worksheet
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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