United Nations Security Council & Australian Autonomous Sanctions
Higher Degree by Research – Compliance & Risk Assessment Form
INTRODUCTION
From 1 July 2011, the Autonomous Sanctions Act 2011 has provided a new framework designed to strengthen Australia's existing
autonomous sanctions by consolidating them to a single piece of legislation. The sanctions framework includes regulations
designed to drive a strict liability regime under which Australian organisations (including universities) could be liable for a breach if
they are unable to demonstrate that they have taken ‘reasonable precautions’ and ‘exercised due diligence’ in the development and
implementation of Autonomous Sanctions (AS) related policies, procedures, and educational/training programs.
Sanctions are coercive or punitive measures imposed by governments as a means of influencing regimes to alter their behaviour.
Australia imposes two main types of sanctions measures:
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Multilateral sanctions based on resolutions made by the United Nations Security Council; and
Australian Autonomous Sanctions.
Sanctions impose restrictions on activities related to designated individuals and entities, with designated products, or in designated
locations. A number of university activities may give rise to risks under sanctions laws.
The University of Tasmania and its staff are obliged to comply with the sanctions as they apply to countries where there is
prohibition on providing a 'sanctioned-service', and will breach the Act if they are unable to demonstrate that they have taken
'reasonable precautions' and exercised 'due diligence'. The Autonomous Sanctions regime imposes serious penalties for breaching
sanctions laws. The University could be liable for fines of up to $1.7 Million or three times the transaction value (whichever is higher).
Individual staff members can also be personally liable, with a maximum of 10 years imprisonment and/or fines of up to $425,000 or
three times the transaction value.
PURPOSE
The purpose of this Form is to undertake a risk assessment to ensure an application for admission and/or scholarship for a Higher
Degree by Research (HDR) does not breach any of Australia's international sanctions. All proposed or nominated supervisors must
be involved in the special assessment of applications from citizens of sanctioned countries that they wish to support for an offer of
admission. Supervisors must also sign this assessment form and the form must be endorsed by the Head of School and the
Associate Dean or Director of Research (ADDR) of the appropriate Faculty or Institute.
CURRENT SANCTIONS REGIMES
Australian sanction laws implement United Nations Security Council (UNSC) sanctions regimes and Australian autonomous
sanctions regimes. The sanctions regimes currently implemented under Australian sanction laws are shown in the diagram below:
Last Updated: 18 January 2016
NOTE: International Sanctions can be subject to frequent, rapid and significant changes by the Australian Government. Accordingly,
this Form is also subject to change.
Autonomous Sanctions Compliance & Risk Assessment Form V2016.02.18
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SECTIONS TO COMPLETE (GRADUATE RESEARCH ADMINISTRATION OFFICER TO COMPLETE CHECKLIST)
The following is a guide of what sections of this form need to be completed, depending on the applicant’s citizenship. Please check
the sections that need to be completed for this applicant;
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Section A: All Applicants
Section B: All Applicants
Section C: All Applicants
Section D1: Citizens of Iran
Section D2: Citizens of Syria
Section D3: Citizens of Democratic People’s Republic of Korea
Section D4: Citizens of Russia, Crimea & Sevastopol
Section D5: Citizens of all other sanctioned countries/regimes
Assessment & Approvals: All Applicants
Please ensure that the information is complete, true and accurate to the best of your knowledge. Failure to do so will result in
significant delays of this Autonomous Sanctions review and the application for admission/scholarship for entry into a Higher Degree
by Research program at the University of Tasmania.
SECTION A: APPLICANT DETAILS (TO BE COMPLETED BY THE GRADUATE RESEARCH ADMINISTRATION OFFICER)
Family Name:
Given Name(s):
Sanctioned Country
of Citizenship:
Date of Birth:
UTAS ID:
1.
Does the applicant have dual (Australian or other) citizenship?
☐ Yes
☐ No
2.
Is the applicant a Permanent Resident of Australia?
☐ Yes
☐ No
3.
Does the applicant hold an Australian Humanitarian VISA?
☐ Yes
☐ No
4.
Does the applicant’s name appear on the DFAT Consolidated List?
☐ Yes
☐ No
5.
Does the applicant hold a sponsorship OR receive financial support from an
institution/government located in a sanctioned country?
☐ Yes
☐ No
If YES, please provide details:
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SECTION B: PROGRAM INFORMATION (TO BE COMPLETED BY THE PRIMARY SUPERVISOR)
B1: HDR Program & Support
Proposed School/Centre:
Choose an item.
In the Degree Program:
☐ Doctor of Philosophy (PhD)
Course Code:
☐ Professional Doctorate
☐ Master by Research
Primary Supervisor:
B2.1: Title of Proposed Project
B2.2: Project Description (Please ensure this description is non-technical and can be understood by a non-discipline specific
person. DO NOT copy and paste the project proposal from the Application Part 1 document, this is insufficient for this compliance and
risk assessment to be undertaken, this form will be sent back to you to be corrected and may cause delays in the application process.)
B3: Classification of Research (as per Australian Bureau of Statistics guidelines)
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Pure basic research**
Strategic basic research
Applied research
Experimental development
**DFAT apply the definition of ‘basic scientific research’ as: ‘experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of
phenomena or observable facts, not primarily directed towards a specific practical aim or objective’, and is therefore ‘insufficiently specialised to constitute “technical” training’.
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B4.1: Does the proposed project involve the use, development, or training/technical advice in the use,
development or maintenance of any of the following ‘arms or related material’? (Tick all that apply)
Weapons, ammunition, military vehicles and equipment
☐ Yes
☐ No
Any spare parts or accessories for weapons, military vehicles, equipment and/or technology
☐ Yes
☐ No
Paramilitary or law enforcement equipment (e.g. body armour, anti-riot gear, restraints etc)
☐ Yes
☐ No
If YES, please provide details:
B4.2: Does the proposed project involve technology or software which has already been made available
without restrictions upon its further dissemination (i.e. is already in the public domain)?
☐ Yes
☐ No
If YES, please provide details:
B4.2: Does the proposed project involve or require any external organisations?
(in terms of funding, intellectual property, research collaboration or deliverables)
☐ Yes
☐ No
If YES, please provide details:
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SECTION C: AUTONOMOUS SANCTIONS LEGISLATIONS COMPLIANCE
(TO BE COMPLETED BY THE PRIMARY SUPERVISOR)
ALL APPLICANTS
C1.1: Please consider the goods & technologies included on The Australia Group Common Control Lists.
Goods and technologies on the List:
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Chemical weapons precursors;
Dual-use chemical manufacturing facilities and equipment and related technologies and software;
Dual-use biological equipment and related technology and software;
Biological agents;
Plant pathogens; and
Animal pathogens.
Does the research topic or project involve, or could it be reasonably expected to involve, any of the goods and technologies
included on those Lists?
☐ Yes
☐ No
If YES, please provide details:

Applicable list;

The goods and/or technologies; and

How the applicant’s research topic, project or otherwise necessitates their involvement with the relevant goods or
technologies
C1.2: Please consider the Defence and Strategic Goods List Amendment 2011
(maintained by the Department of Defence).
Examples of goods and technologies caught on the List:
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Military goods (those goods or technology that is designed or adapted for military purposes including parts and
accessories thereof);
Non-military lethal goods (equipment that is inherently lethal, incapacitating or destructive such as non-military firearms,
non-military ammunition and commercial explosives and initiators);
Dual-use goods (equipment and technologies developed to meet commercial needs but which may be used either as
military components or for the development or production of military systems or weapons of mass destruction);
Category 0 - Nuclear Materials;
Category 1 - Materials, Chemicals, Microorganisms and Toxins;
Category 2 - Materials Processing;
Category 3 - Electronics;
Category 4 - Computers;
Category 5 - Telecommunications and Information Security;
Category 6 - Sensors & Lasers;
Category 7 - Navigation and Avionics;
Category 8 - Marine;
Category 9 - Aerospace and Propulsion.
See Appendix 1 for further detail.
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Does the research topic or project or otherwise that the applicant is proposing involve, or could it be reasonably expected to
involve, any of the goods or technologies included on that List?
☐ Yes
☐ No
If YES, please provide details:

Applicable goods and technologies; and

How the applicant's research topic, project or otherwise necessitates their involvement with the relevant goods or
technologies
C1.3: Will the research project involve the use of, relate to the manufacture of, or potentially increase
the sanctioned country's capacity to manufacture or use of any controlled goods listed in Appendix 1?
☐ Yes
☐ No
If YES, please include provide details, including an assessment of whether the project constitutes pure/basic research or applied
research.
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SECTION D1: TO BE COMPLETED FOR CITIZENS OF IRAN (BY PRIMARY SUPERVISOR)
D1.1: For an applicant who is a citizen of Iran, does the research project provide training in, or lead to
improvements in the use, extraction, manufacture or maintenance of any of the following?
a.
Gold, precious metals and/or diamonds?
☐ Yes
☐ No
b.
Any goods listed in Autonomous Sanctions (Export Sanctioned Goods – Iran) Specification
2016
☐ Yes
☐ No
c.
Any goods listed in Autonomous Sanctions (Import Sanctioned Goods – Iran) Specification
2012 or in Autonomous Sanctions (Import Sanctioned Goods – Iran) Amended Specification
2013?
☐ Yes
☐ No
d.
Involve or is financially supported by any of the persons or entities listed in Autonomous
Sanctions (Designated Persons and Entities and Declared Persons – Iran) List 2012?
☐ Yes
☐ No
If YES, please provide details and how are you going to mitigate the risks identified?:
D1.2: Please consider the goods and technologies included on the Charter of the United Nations
(Sanctions – Iran) (Export Sanctioned Goods) List Determination 2008.
Examples of goods and technologies caught on the List:
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Nuclear materials, facilities and equipment;
Nuclear materials; chemicals, microorganisms and toxins;
Materials processing;
Electronics;
Sensors & lasers;
Navigation & avionic;
Other dual-use goods and technologies of utility in a nuclear program.
Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected to
involve, any of the goods or technologies included on that List?
☐ Yes
☐ No
If YES, please provide details:

Applicable goods and technologies; and

How the applicant's research topic, project or otherwise necessitates their involvement with the relevant goods or
technologies
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SECTION D2: TO BE COMPLETED FOR CITIZENS OF SYRIA (BY PRIMARY SUPERVISOR)
D2.1: For an applicant who is a citizen of Syria, does the research project provide training in or lead to
improvements in the use, extraction, manufacture or maintenance of any of the following?
a.
Gold, precious metals and/or diamonds?
☐ Yes
☐ No
b.
Any goods listed in Autonomous Sanctions (Export Sanctioned Goods – Syria) Specification
2012#?
☐ Yes
☐ No
c.
Any goods listed in Autonomous Sanctions (Import Sanctioned Goods – Syria) Specification
2012 and Designation 2012##?
☐ Yes
☐ No
d.
Involve or is financially supported by any of the persons or entities listed in Autonomous
Sanctions (Designated Persons and Entities and Declared Persons – Syria) List 2012
☐ Yes
☐ No
e.
Newly printed or unissued Syrian denominated bank notes or newly minted or unissued
Syrian denominated coinage?
☐ Yes
☐ No
f.
Provide technical advice or training in regard to specified crude oil, petroleum products or
petrochemical products?
☐ Yes
☐ No
If YES, please provide details:
#Please note: In August 2013, this list was principally devoted to goods, equipment, technology and software related to crude oil,
natural gas, petrochemicals, power plants for electricity production, the monitoring or interception of internet or telephone
communications, and certain luxury goods. The document is subject to change, however and should be consulted when assessing
all applications for admission to a graduate research degree. Any proposed additions to the goods listed as noted on the DFAT
website should be taken into consideration.
##Please note: In August 2013, this list was principally devoted to chemicals, micro-organisms, toxins and materials processing
goods and equipment. The document is subject to change, however and should be consulted when assessing all applications for
admission to a graduate research degree.
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SECTION D3: TO BE COMPLETED FOR CITIZENS OF RUSSIA, CRIMEA &
SEVASTOPOL (BY PRIMARY SUPERVISOR)
D3.1: For an applicant who is a citizen of Russia, Crimea or Sevastopol, does the research project
provide training in or lead to improvements in the use, extraction, manufacture or maintenance of any
of the following?
a.
Goods, equipment, technology and software related to crude oil, natural gas,
petrochemicals or power plants for electricity production
☐ Yes
☐ No
b.
Goods, equipment, technology and software related to transport, telecommunications,
energy production and/or the exploitation of oil, gas and mineral reserves
☐ Yes
☐ No
c.
Goods, equipment, technology and software related to deep water and/or Arctic Circle oil
exploration
☐ Yes
☐ No
d.
Any goods listed in Schedule 1 – List of Goods of Autonomous Sanctions (Russia, Crimea and
Sevastopol) Specification 2015?
☐ Yes
☐ No
e.
Any goods listed in Schedule 2 – Sanctioned Commercial Activity of Autonomous Sanctions
(Russia, Crimea and Sevastopol) Specification 2015?
☐ Yes
☐ No
If YES, please provide details:
SECTION D4: TO BE COMPLETED FOR CITIZENS OF DEMOCRATIC PEOPLE’S
REPUBLIC OF KOREA (DPRK, ALSO KNOWN AS NORTH KOREA) (BY PRIMARY SUPERVISOR)
D4.1: For an applicant who is a citizen of the Democratic People’s Republic of Korea (DPRK), does the
research project provide training in any of the following?
a.
Goods related to nuclear and/or atomic energy technology (as listed in Charter of United
Nations (Sanctions – Democratic People’s Republic of Korea) Document List 2014)
☐ Yes
☐ No
If YES, please provide details:
D4.2: Is the applicant involved or financially supported by any of the persons or entities listed in
Autonomous Sanctions (Designated Persons Entities – Democratic People’s Republic of Korea) List 2012?
☐ Yes
☐ No
If YES, please provide details:
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SECTION D5: TO BE COMPLETED FOR CITIZENS OF ALL OTHER UNITED NATIONS
& AUSTRALIAN SANCTIONED COUNTRIES/REGIMES (BY PRIMARY SUPERVISOR)
D5.1: If the applicant is a citizen of a ‘sanctioned-service’ country (other than those in D1 through D4),
does the research project provide training in or lead to improvements in the use, extraction,
manufacture or maintenance of any of the following?
a.
Military or paramilitary items or items with a military or paramilitary application?
☐ Yes
☐ No
b.
Items with an application in nuclear, chemical or biological weapons programs or in the
development of weapons delivery systems (such as missiles)?
☐ Yes
☐ No
c.
Technical training, advice, services or assistance (including financing and financial
assistance, investment, brokering or other services, and transfer of financial resources or
services) related to ‘the supply, manufacture, maintenance of use of such items, or military
activities generally’?
☐ Yes
☐ No
d.
Rough diamonds?
☐ Yes
☐ No
e.
Iraqi cultural property, other items of archaeological, historical, cultural, rare scientific and
religious importance illegally removed since August 1990?
☐ Yes
☐ No
If YES, please provide details:
**Please note: These lists include chemical weapons, precursors, dual use chemical manufacturing facilities and equipment and
related technology and software, dual use biological equipment and related technology and software, biological agents, plant
agents, and animal pathogens.
While there may be some duplication with goods on the Defence and Strategic Goods List (DSGL) Quick Reference Guides in
Appendix 1, both of these lists should be consulted when assessing all applications for admission to a higher degree research
program.
D5.2: Is the applicant involved or financially supported by any of the persons or entities listed in;
Autonomous Sanctions (Designated and Declared Persons – Burma) List 2012, or
Autonomous Sanctions (Designated Persons and Entities and Declared Persons - Libya) List 2012, or
Autonomous Sanctions (Designated Persons and Entities and Declared Persons – Ukraine) List 2014, or
Autonomous Sanctions (Designated and Declared Persons – Former Federal Republic of Yugoslavia) List 2012, or
Autonomous Sanctions (Designated Persons and Entities and Declared Persons – Zimbabwe) List 2012?
☐ Yes
☐ No
If YES, please provide details:
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SANCTIONS COMPLIANCE – ASSESSMENT & APPROVALS
RESPONSIBLE GRADUATE RESEARCH ADMINISTRATION OFFICER
It is the responsibility of the GRAO to check that all required sections of this form are completed. If this is not the case, please return
the form to the Primary Supervisor to complete the missing sections.
Name of GRAO:
Hub:
Choose an item.
Date:
PRIMARY SUPERVISOR DECLARATION
It is the responsibility of the Primary Supervisor to ensure all supervisors are aware of this risk assessment and compliance form. By
signing this form, the Primary Supervisor confirms that all supervisors have agreed to the content within this form.
I declare that:
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I am aware of the Australian Autonomous or United Nations regime and the procedures and processes put in place by this
University to ensure compliance with the regime; and
I am aware that applicants who are subject to sanctions will not be approved as external candidates; and
All information and assessments provided on or appended to this Form are true and correct to the best of my knowledge,
information and belief; and
If the applicant is admitted, the project, project requirements and research environment will be monitored for compliance
at confirmation and progress reviews; and
Any change in the status of this project, project requirements or research environment that may affect compliance with
the Autonomous Sanctions regime will be reported to the Head of School, Faculty Associate Dean of Research and the
Dean of Graduate Research.
Primary Supervisor Name:
Staff ID:
Signature:
School/Faculty/Institute/
External Organisation:
HEAD OF SCHOOL DECLARATION
It is the responsibility of the Head of School to review the information included in this compliance assessment form and to the best
of their ability, ensure that it is accurate and true.
I declare that:
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I am aware of the Australian Autonomous or United Nations Sanctions Regimes and this Faculty or Institute has
mechanisms in place to ensure that the HDR admissions and candidature management procedures and processes put in
place by the University to ensure compliance with the regimes are being followed; and
This compliance assessment of the proposed project has been completed in accordance with UTAS procedures by the
Primary Supervisor, with the requisite methodological and theoretical expertise to provide a rigorous and meaningful risk
assessment; and
If the applicant is admitted, appropriate procedures and processes are in place to monitor the project, project
requirements and research environment and any changes will be reported to the ADDR and the Dean of Graduate
Research in a reasonable timeframe.
HoS Name:
Signature:
Staff ID:
School/Faculty/Institute/
External Organisation:
HoS Comments:
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ADDR DECLARATION
It is the responsibility of the Associate Dean or Director of Research to review the information included in this compliance
assessment form and to the best of their ability, ensure that it is accurate and true.
I declare that:
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

I am aware of the Australian Autonomous or United Nations Sanctions Regimes and this Faculty or Institute has
mechanisms in place to ensure that the HDR admissions and candidature management procedures and processes put in
place by the University to ensure compliance with the regimes are being followed; and
This compliance assessment of the proposed project has been completed in accordance with UTAS procedures by the
Primary Supervisor, with the requisite methodological and theoretical expertise to provide a rigorous and meaningful risk
assessment; and
If the applicant is admitted, appropriate procedures and processes are in place to monitor the project, project
requirements and research environment and any changes will be reported to the ADDR and the Dean of Graduate
Research in a reasonable timeframe.
ADDR Name:
Signature:
Staff ID:
School/Faculty/Institute/
External Organisation:
ADDR Comments:
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DELEGATED AUTHORITY ASSESSMENT (TO BE COMPLETED BY GRO/ODGR STAFF)
Following a review of this compliance assessment form, and a cross-check against the relevant pieces of Autonomous Sanctions
and/or United Nations legislation, the following risk rating has been determined.
RECOMMENDED RISK RATING
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Low-Risk
Shows no discernible association or breach of Autonomous Sanctions legislation
Project approved
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Medium-Risk
Shows a tenuous or possible association or breach of Autonomous Sanctions legislation
Further information requested from Primary Supervisor and/or advice requested from DFAT
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High-Risk
Shows a clear association and is in breach of Autonomous Sanctions legislation
Project and/or application rejected
Assessment Notes:
for example, "the project seems to develop small portable optical imaging sensors for th emeasurement of bioanalytes,
specifically in the areas of food and agriculture. The results of this type of research are already in the public domain.
Assessors Name:
Staff ID:
Divisional Area:
Signature:
DEAN OF GRADUATE RESEARCH
I declare that:

I am aware of the Australian Autonomous or United Nations Sanctions Regimes and this Faculty or Institute has
mechanisms in place to ensure that the HDR admissions and candidature management procedures and processes put in
place by the University to ensure compliance with the regimes are being followed, and
The above recommendation is:
Name:
☐
Accepted
☐
Staff ID:
Rejected
Signature:
Any additional comments:
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APPENDIX 1: DEFENCE & STRATEGIC GOODS LIST QUICK REFERENCE GUIDE
On advice from DFAT, higher degree research projects involving nationals of countries on the United Nations (UN) and Australian
Autonomous Sanctions (AS) lists should be assessed to determine whether they provide technical assistance or training that assists
with the manufacture, maintenance or use of certain controlled goods.
There is no single list of controlled goods, however, which applies to all sanctioned countries. Rather, Australian law gives effect to a
variety of export control regimes including those related to ‘arms and related materiel’ in the Charter of the United Nations
Regulations and the Autonomous Sanctions Regulations. There are, in addition, country specific sanctions, regulations and
controlled goods.
To assist with the special assessment of higher degree research applications, DFAT has indicated that the Defence and Strategic
Goods List may be used as a proxy, in the first instance, for a comprehensive controlled goods list.
Below is a Quick Reference Guide, in two parts, which should be used to answer Section C, Question 2 of the Higher Degree
Research Compliance Assessment Form. Please note that the “Part 1—Munitions List” is included here for comprehensiveness. The
vast majority of controlled goods relevant to research projects carried out at the University will appear on the Part 2—Dual Use
Goods List.
The full DSGL is available at http://www.defence.gov.au/deco/DSGL.asp and may be consulted if staff assessing an application
would like more detailed information on any of the goods listed in the Quick Reference Guide.
PART ONE – MUNITIONS LIST
Military Goods
ML1
ML2
ML3
ML4
ML5
ML6
ML7
ML8
ML9
ML10
ML11
ML12
ML13
ML14
ML15
ML16
ML17
ML18
ML19
ML20
ML21
ML22
Smooth bore weapons calibre <20mm
Other weapons calibre ≤ 12.7mm (calibre 0.50 inches)
Components and accessories
Smooth bore weapons >20mm
Other weapons calibre > 12.7mm (calibre 0.50 inches)
Components and accessories
Ammunition and components for ML1, ML2 & ML12, Fuze settings for ML3
Bombs, torpedoes, rockets, missiles,, other explosive devices and charges, components and accessories
Equipment for launching, deploying, decoying, disruption, detection and jamming
Fire control systems, components and accessories and their countermeasure equipment
Radar, surveillance, tracking systems, and their countermeasure equipment
Ground vehicles and components
Chemical or biological toxic agents, ‘riot control agents’, radioactive materials, related equipment, components, and materials
‘Energetic materials’ (explosives & chemicals) and related substances
Vessels of war, special naval equipment, accessories and components
Aircraft, unmanned airborne vehicles, aero-engines and aircraft equipment, and related equipment and components
Electronic equipment not controlled elsewhere in the Munitions List specially designed for military use
High velocity kinetic energy weapon systems and related equipment
Armour plate, body armour, and helmets and components
Simulators and training equipment
Imaging, infrared, thermal imaging and image intensifier equipment, and cameras
Forgings, castings and other unfinished products specially designed for any products controlled by ML1 - ML4, ML6, ML9, ML10,
ML12 or ML19.
Miscellaneous goods, including diving equipment, robots, ferries, containers specially designed or modified for military use, goods
treated for or providing signature suppression
Production and test equipment
Directed energy weapon systems, countermeasure and related equipment, (e.g. lasers and particle beam systems)
Cryogenic and superconductive equipment, as follows, and specially designed components and accessories
Software for listed goods
Technology for listed goods
Non - Military Goods
ML901
ML902
ML904
ML905
ML908
ML909
ML910
Non-military firearms including rifles, carbines, muskets, pistols, revolvers, shotguns, and smooth bore weapons, not specified ML1
Ammunition, projectiles and specially designed for ML901
Accessories, including silencers, mountings, magazines, sights, flash suppressors, for ML901
Air guns, with specific characteristics
Energetic materials other than those in ML8, excluding those specially formulated for toys, novelty goods and fireworks
Detonators or other equipment for the initiation of non-military energetic materials specified in Item ML908
Charges and devices containing “energetic material” specified in ML908
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PART TWO – DUAL USE GOODS
0
Nuclear Materials; Facilities and Equipment
Nuclear reactors, gas centrifuges, and equipment and materials especially designed for nuclear use
Materials, Chemicals, Micro-organisms and Toxins
Toxic chemicals, viruses, bacteria, protective and detection equipment, body armour, radiation shielding windows, and metal
powder production equipment
Materials Processing
Crucibles, valves, robots, vibration test systems, vacuum pumps, chemical processing, and handling equipment
Electronics
Microwave components, acoustic wave devices, high energy devices, switching devices, and detonators
Computers
Radiation hardened computers, neural and optical computers, and related equipment.
Telecommunications and Information Security
Part 1 – Telecommunications.
Telecommunications systems, optical fibre cables, radio equipment, jamming equipment, and telemetry and telecontrol equipment
Part 2 – Information Security (Cryptography).
Cryptographic equipment, and communications cables systems
Sensors and Lasers
Marine acoustic systems, hydrophones, imaging cameras, optical mirrors, lasers, and magnetometers
Navigation and Avionics
Gyros, accelerometers, inertial navigation systems, and flight control systems
Marine
Submersible vehicles, remotely controlled manipulators, underwater vision systems, noise reduction systems, and air independent
power systems
Aerospace and Propulsion
Aero gas turbine engines, rocket propulsion systems, UAVs, rocket motors, ramjet engines, sounding rockets, and acoustic vibration
test equipment
1
2
3
4
5
6
7
8
9
Note 1 - Each of the above Dual-Use Goods categories (0-9) has the following divisions:
A.
B.
C.
D.
E.
– Systems, Equipment and Components
– Test, Inspection and Production Equipment
– Materials
– Software
– Technology
Note 2 - Materials, software and technology related to controlled goods are also controlled.
Note 3 - Terms with specific meaning are enclosed in double quotation marks where they appear throughout the DSGL document.
An index of these terms appears in the front pages of the full DSGL document available at
http://www.defence.gov.au/deco/DSGL.asp.
Background Information
The DSGL is identified in regulation 13E of the Customs (Prohibited Exports) Regulations 1958 as the document titled ‘Defence and
Strategic Goods List’:
a)
b)
c)
formulated and published for the purpose of paragraph 112 (2A) (aa) of the Customs Act 1901 by the Minister for Defence;
and
dated November 1996;
as amended by the Minister for Defence and in force from time to time. The up to date DSGL is available at
http://www.defence.gov.au/deco/DSGL.asp.
Goods included in the list may not be exported from Australia unless a licence or permission has been granted by the Minister or an
authorised person and that licence or permission is produced to a Collector of Customs before exportation.
In addition, the Australian Autonomous Sanctions regime prohibits the provision of training to nationals of sanctioned countries in
how to use, manufacture or maintain certain controlled goods, or how to improve the goods’ use, manufacture or maintenance.
DFAT has determined that higher degree research training may pose a higher than normal risk of breaching Autonomous Sanctions
regulations in these areas.
Autonomous Sanctions Compliance & Risk Assessment Form V2016.02.18
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