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 a several kinds of permits covering different circumstances, including for single and permanent exports, single and multiple supplies, and exports for repairs and maintenance. 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.
Publishing exemption – A permit is not required to publish technology on Part 2 of the DSGL.
Supply exemptions – A permit is not required if the supply is:
- 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).
Oral supply exemption – You do not require a permit when orally supplying DSGL-listed software and technology during, for example, telephone conversations, video conferences, live streaming, or webinars. However, you will need a permit 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.
Public domain exemption – A permit is not required to publish Part 1 DSGL technology if it has already lawfully been made available to the public. 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). Note that a permit is never required to publish Part 2 DSGL technology (see 'publishing exemption' above).
Basic scientific research exemption – A permit is not required to export or supply technology that constitutes basic scientific research or is the outcome of basic scientific research. Basic scientific research means experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts. It is designed to acquire knowledge for knowledge’s sake. It is not research that is directed towards a specific practical aim or with a specific objective in mind. That is, it does not set out to solve a specific problem or to create or invent something.
‘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 many 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 DEC 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
If a permit application is required, International Safeguards will prepare the permit application and submit it to Defence Export Controls through the online portal. If further details are requested, it is essential that they are provided as soon as possible to avoid delays.
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.
Record-keeping
The Defence Trade Controls Act requires all permit related records to be kept for a minimum of seven 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.
For more information on record keeping, contact International Safeguards.