Assessments and permit applications

A permit must be obtained to export, supply, publish or broker goods or technology on the Defence and Strategic Goods List, unless an exemption applies (see Permit exemptions below). UQ International Safeguards is responsible for preparing and submitting all permit applications to Defence Export Controls, part of the Australian Department of Defence.

There are several kinds of permits available for different circumstances, including permits to export and/or supply military or dual-use goods or technology (including for transhipment through Australia and for repair, return or maintenance purposes) and permits to supply to a non-exempt foreign person within Australia. Multi-party permits for groups working on a project and permits tailored to match contracts are also possible.

For more information on the kinds of permits available, see the permits page of the Defence Export Controls website.

Permit exemptions

There are several exemptions to the requirement to obtain an export control permit.

Export exemptions –A permit is not required to export DSGL goods to a person outside Australia if the export is to a person or a government in the United Kingdom or the United States. Note that the Department of Defence must be notified of all exports made under this ‘licence free’ arrangement. The International Safeguards team makes all notifications on behalf of UQ.

Supply exemptions – A permit is not required to supply DSGL technology to a person outside Australia if the supply is:

to a person or a government in the United Kingdom or the United States. Note that the Department of Defence must be notified of all supplies made under this ‘licence free’ arrangement.
a pre-publication activity of dual use technology (Part 2 of the DSGL), such as emailing a draft article to an overseas journal,
made orally in some circumstances (see below),
made under the Australian-US Defence Trade Cooperation Treaty, or
made by, or made to, members of certain state or federal officials in the course of their official duties (e.g., employees of ASIO, ASIS, ADF, AFP, State or Territory police).

A permit is not required to supply DSGL technology to a foreign person* within Australia if:

the foreign person is a citizen or permanent resident of a country on the Foreign Country List
the foreign person holds a security clearance issued by Australia, Canada, New Zealand, the United Kingdom or the United States at SECRET (equivalent to Negative Vetting 1) level or higher
the technology is supplied to a person to produce one or more components of DSGL goods, and:

(a) the DSGL technology supplied is limited to that which is reasonably necessary to produce the components;
(b) the DSGL technology supplied is not of a kind that would enable the overall design of the DSGL goods, or any means of producing the DSGL goods as a whole, to be determined

*A foreign person is any person who is not a citizen or permanent resident of Australia.

Fundamental research – A permit is not required to export or supply DSGL technology that is the result of basic or applied research conducted in circumstances where the results of the research:

(a) are intended for public disclosure, or would ordinarily be published or shared broadly; and
(b) are not subject to any restrictions on disclosure (however imposed) for purposes connected with the security or defence of Australia or any foreign country.

Public domain exemption –If DSGL technology is already available to the public, then it is not controlled. For example, the technology may be published in publications, product brochures and public blogs, websites, podcasts or databases. This exemption applies to all software and technology listed in the DSGL (Part 1 and Part 2).

Oral supply exemption – A permit is not required when orally supplying DSGL-listed software and technology during, for example, telephone conversations, video conferences, live streaming, or webinars. However, a permit is required if you are orally supplying a person with access to technology by, for example, providing a password, or if the supply is for a military end use, or for use in a Weapons of Mass Destruction program. Note that the thresholds required for DSGL technology to be controlled is generally very high. It is therefore highly unlikely that controlled technology will ever be conveyed orally.

Publishing exemptions – A permit is not required to publish technology on Part 2 of the DSGL.

A permit is not required to publish Part 1 DSGL technology if it has already lawfully been made available to the public (i.e. it is in the public domain). Technology is in the public domain if has been made available without restrictions upon its further dissemination. For example, technology that can be downloaded from a website or purchased as a document or plan. Note the onus is on the individual to prove that technology is in the public domain (see Section 14A(2) of the Defence Trade Controls Act).

‘Minimum necessary’ exemption – A permit is not required if technology being exported or supplied is the minimum necessary for the installation, maintenance or repair of goods that have been approved for export from Australia. This could include technology normally supplied with an exported good, such as an operating system, including firmware, or a user manual or basic repair manual. It excludes advanced technology required for overhaul or refurbishment.

Patent application exemption – A permit may not be required to export or supply technology that is in a form required for submission to a patent office, and is being submitted to a patent office. Note, however, this only applies to the minimum information necessary for a patent application. If the technology is more than is required for a patent application and is being sent to a person overseas who will submit the patent application using only some of the technology, then this is not the minimum information necessary for a patent application.

Determining if a permit is required

If you are a researcher who may need to export or supply a controlled item, you must follow these steps to determine if an export permit is required.

Step 1 - Search the DSGL

Search the DSGL to determine if the item is controlled. For instructions on searching the DSGL, including a detailed breakdown of the DSGL structure, see the ‘DSGL search guide’ on the forms and guides page. It is strongly recommended that you read this guide prior to conducting a search.

Step 2 - Consider export controls ‘catch-all’ legislation

Even if your good or technology is not controlled by the DSGL, it may still fall under export controls catch-all legislation if there is a chance that it may be used for a weapons of mass destruction program or a military end-use. If you believe this may apply to your export or supply, or you are unsure, you should contact International Safeguards for advice.

If no item is identified at Step 1 or Step 2, no further action is required.

If an item is identified at Step 1 or Step 2, got to Step 3.

Step 3 - Determine if an exemption applies

To determine if an exemption applies, view the different types of exemptions on the Export Controls Overview page and attempt to work out if any apply to your circumstances.

If an exemption applies, a permit is not required and no further action is required.

If no exemption applies, a permit may be required and you should go to Step 4.

Step 4 - Contacting International Safeguards

Once you have determined that:

you need to export, supply, publish or broker an item, and
the item is captured by the DSGL or falls under catch-all legislation, and
no permit exemptions apply, or
if you are unsure and need assistance, contact International Safeguards who will work with you to determine if a permit application is required.

In-principle assessments

Working out if an item requires an export permit can be a complex process. If International Safeguards requires input from Defence Export Controls, they may submit a request for an in-principle assessment. Defence Export Controls will respond with advice on whether or not a permit application is required.

This process can take considerable time and delays can become significant if Defence Export Controls need to ask for more details. It is therefore essential that sufficient details are provided to International Safeguards and that any requests for further information are actioned as soon as possible.

Applying for an export control permit

Permit conditions and amendments

Once a permit is granted, the researcher must comply with all conditions listed on the permit. Conditions may include specifying whether single or multiple exports or supplies may occur and setting the period of time that a multi-supply permit is valid.

If an amendment to any conditions is required, contact International Safeguards with details. International Safeguards will submit a request for an amendment to Defence Export Controls through the online portal.

Penalties for non-compliance

Record-keeping

Records for permit holders – The Defence Trade Controls Act requires records of permit related activities to be kept for a minimum of five years. International Safeguards keeps a central record of all permits. However, researchers must also keep their own records, especially if the permit is a multi-supply permit, as records of each individual supply must be kept.

Records for other activities – The Defence Trade Controls Act also requires records of supplies of DSGL goods or technology made without a permit (i.e. where an exemption applies) for a period of five years. International Safeguards will keep a record of supplies made where an exemption applies. However, researchers should keep their own records. Note this record-keeping requirement does not apply to supplies of DSGL technology produced during the course of fundamental research.

For more information on record keeping, contact International Safeguards.