Defence export controls

Legislation

Australian export controls are administered through a range of legislation including:

• Customs Act 1901 (Customs Act) – via Regulations 13(E-EK) of the Customs (Prohibited Exports) Regulations 1958 (Customs Regulations) – which controls the export from Australia of tangible military and dual-use goods and technology on the Defence and Strategic Goods List (DSGL).
• Customs Act 1901 – Section 112BA of the Customs Act 1901 (Customs Act) authorises the Minister for Defence to prohibit the export of non-DSGL listed goods that may contribute to a military end-use that would prejudice Australia’s security, defence or international relations. Defence notifies exporters by issuing a prohibition notice.
• Defence Trade Controls Act 2012 (DTC Act) and the Defence Trade Controls Regulations 2013 which controls the supply, publication and brokering of tangible and intangible goods and technology on the Defence and Strategic Goods List (DSGL).
• Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (WMD Act) regulates any goods, technology or provision of services that could be used in, or assist, a weapons of mass destruction (WMD) program.

Changes to export controls

On 1 September 2024, the Defence Trade Controls Amendment Act 2024 and Defence Trade Legislation Amendment Regulations 2024 came into effect. These changes updated Australia’s defence export controls in two keyways:

• Licence-Free Environment: Most military and dual-use goods and technology can now be exported, re-exported, or transferred between Australia, the United Kingdom, and the United States (AUKUS partners) without a permit.
• New Controls: Three new regulations were added to the Defence Trade Controls Act 2012:
  • Section 10A: Controls on supplying Defence and Strategic Goods List (DSGL) technology to non-exempt foreign persons in Australia.
  • Section 10B: Controls on supplying ‘Sensitive’ and ‘Very Sensitive’ DSGL goods and technology that were previously exported or supplied from Australia.
  • Section 10C: Controls on providing DSGL services related to munitions to foreign nationals outside Australia.

  Permits may be needed for activities under these new controls. More details and guidance on permits for Sections 10A, 10B, and 10C are available on the Permits page. The new legislation was supported by an impact analysis reviewed by the Office of Impact Analysis within the Department of the Prime Minister and Cabinet.

The Defence and Strategic Goods List 2024 (DSGL) details which goods, technology, and software are regulated under Australian export control laws. It is updated to align with international non-proliferation and export control agreements that Australia participates in.

To export, supply, publish, or broker ‘controlled’ DSGL items, individuals or entities must apply for a permit from Defence, unless an exemption applies, and must adhere to reporting and compliance requirements.

The DSGL includes over 2,500 items divided into two categories:

• Part 1 – Munitions List: Items designed or modified for military use.
• Part 2 – Dual-use List: Items primarily for commercial use but with potential military or Weapons of Mass Destruction (WMD) applications.

It also covers specific items like firearms and explosives unique to Australia.

As of 16 August 2024, the DSGL 2024 features 278 amendments:

• 231 are clarifications and minor changes without altering existing controls.
• 13 reduce or remove some approval requirements for exports.
• 15 are changes that do not affect the scope of control.
• 19 introduce new controls or expand existing ones.

Details of these updates can be found in the Explanatory statement.

Part 1 – Munitions List

Part 2 – Dual-use List

Certain items (goods, equipment, software, and technology) may be captured under multiple categories within the Dual-use List.

Within each dual-use category, there are 5 sub-categorisations:

• A. Goods
• B. Test, Inspection, and Production Equipment
• C. Materials
• D. Software
• E. Technology.

Other Relevant Considerations in Export Control:

• Goods or technology not on the DSGL: Exports of non-controlled goods, services, software, and/or technology may still fall under export control catch-all legislation.
• Exemptions for DSGL technology: The DSGL contains exemptions that may apply to otherwise controlled technology.
• Technology in the public domain: If the technology is already available to the public, then it is not controlled.
• The minimum necessary information for patent applications: This exemption does not apply to nuclear technology listed in Category 0. This exemption applies to the supply of DSGL technology where it is done for the purpose of seeking a patent in Australia or overseas.
• Fundamental research: basic or applied research conducted in circumstances where the results of the research:
  • are intended for public disclosure, or would ordinarily be published or shared broadly
  • are not subject to any restrictions on disclosure (however imposed) for purposes connected with the security or defence of Australia or any foreign country.
• Medical equipment specially designed for medical end-use
• Clinical trials: Clinical trials involving a therapeutic product which is entered on the Australian Register of Therapeutic Goods or is proposed to be the subject of an exemption or approval pursuant to the Therapeutic Goods Act 1989, Therapeutic Goods Regulations 1990, or Therapeutic Goods (Medical Devices) Regulations 2002, are not controlled.
• Other exemptions may apply.

Defence is committed to supporting stakeholders in meeting their obligations under Australia’s defence export control laws.

This is achieved by making information available on the DEC website, conducting outreach activities, and participating in forums.

Awareness training

DEC Awareness Training modules must be completed by relevant La Trobe University (LTU) research staff, and higher degree by research students as directed by their supervisor or Head of School, who are or plan to engage in activities that may fall within the scope of the Defence Trade Controls Act 2012 including, but not limited to those in the following Schools:

• School of Agriculture, Biomedicine and Environment
• School of Computing, Engineering and Mathematical Sciences
• School of Allied Health, Health Services and Sport
• School of Nursing and Midwifery

The Awareness Training modules are accessible via Defence’s online learning platform (LXP: Global), to find the relevant training, search for ‘Navigating Australia’s Defence Export Controls Framework’.

Where this assessment indicates research activities fall within the scope of Defence Trade Controls, researchers must contact Ethics, Integrity and Biosafety (EIB) to seek advice and to support their application for a permit. Where researchers are unsure as to whether Defence Trade Controls apply, advice should be sought from EIB.

EIB will support researchers in finalising an assessment of whether Defence Trade Controls apply to their research activities or projects and will submit the application for a permit under the LTU DCRN.

A comprehensive factsheet providing broad guidance and examples on Australia’s export controls, including the recent changes, is provided below.

LTU also recommends that the following members of the research community should complete the training modules:

• Heads of School
• Centre Directors
• Associate Deans Research and Industry Engagement
• Laboratory managers
• Senior Manager, Ethics, Integrity & Biosafety
• Senior Coordinator, Governance and Operations
• Chair, Human Research Ethics Committee
• Senior Coordinator, Human Research Ethics
• Chair, Animal Ethics Committee
• Chair, Institutional Biosafety Committee
• Senior Coordinator, Animal Ethics and Biosafety

My Australian Defence Exports (MADE) portal

The My Australian Defence Exports (MADE) portal should be used to:

• Access the self-help tool to help
  • Understand the control status of various goods, technology, or services
  • Find the right forms
• Apply for a Defence Strategic and Goods List assessment
• Apply for a Defence Exports Control permit
• Apply for an Australian General Export Licence (AUSGEL)
• Apply for an International Import Certificate, Delivery Verification Certificate, or end-use certificate
• Apply to making a brokering arrangement and registering as a broker
• Complete Australia, United Kingdom, and United States (AUKUS) licence-free community registrations
• Complete pre-notifications under the AUKUS license-free environment.

Starting 1 September 2024, the AUKUS licence-free environment allows certain defence trade between Australia, the United States, and the United Kingdom without needing permits. For more details on these changes and new permit controls, visit the Changes to export controls page.

If you want to export, supply, publish, or broker-controlled goods or technology listed on the Defence Strategic Goods List (DSGL), you might still need a permit from Defence. Apply through the My Australian Defence Exports (MADE) portal, where applications are reviewed based on specific laws.

To apply for permits or use the AUKUS licence-free environment, you'll need a Defence Exports Control Client Reference Number (DCRN), which you can get via MADE.

Be aware of additional obligations under Australian law, including those from the Australian Border Force and Australian Sanctions Office.

Resources

Videos

Welcome to the MADE portal

Guides and factsheets

Export controls guidance and examples (PDF, 1.9 MB)

My Australian Defence Exports portal (PDF, 569.4 KB)

Login and registration (PDF, 2.19 MB)

Submitting applications (PDF, 1.78 MB)

Application types (PDF, 1.48 MB)

Adding consignee details (PDF, 596.83 KB)

Supplying technology to non-exempt foreign nationals within Australia (PDF, 433.98 KB)

Under the Defence Trade Controls Amendment Act 2024 (DTC Amendment Act), Australia has introduced a licence-free environment to enhance collaboration with its AUKUS partners (the United Kingdom and the United States). This means certain Defence and Strategic Goods List (DSGL) items can be transferred between Australia, the US, and the UK without needing permits.

Eligibility Criteria:

• End-User: The goods or services must go to an Australian, UK, or US citizen or permanent resident, corporation, or government entity.
• Location: The transfer or service must occur in Australia, the UK, or the US.
• Goods/Technology: The items must not be on the Excluded List or Australian Military Sales Program.
• Registration: The exporter or supplier must be registered as an AUKUS authorized user.
• Pre-Notification: Defence must be informed of certain details before the transfer or service happens.

To use this licence-free environment, submit pre-notification through the My Australian Defence Exports (MADE) portal. A Defence Export Controls Client Registration Number (DCRN) is needed to become an authorized user, but there are no ongoing record-keeping requirements.

Benefits:

The licence-free environment aims to:

• Speed up and scale up defence collaboration.
• Foster greater scientific, technological, and industrial cooperation.
• Accelerate the delivery of advanced capabilities for the Australian Defence Force (ADF).
• Maximize the value of resources and talent across AUKUS.

Resources

https://www.defence.gov.au/sites/default/files/2024-08/AUKUS-Licence-Free-Environment.pdf

EIB holds a Defence Export Control Client Registration Number (DCRN) on behalf of La Trobe University, for goods, services or technologies controlled under the Defence and Strategic Goods List (DSGL). Applications can be submitted for:

• permits to export and/or supply military or dual-use goods or technology (including for transhipment through Australia and for repair or return purposes)
• permits to supply to a foreign person or entity within Australia
• multi-party (project) permits and permits to match contracts
• in-principle assessments
• permits to export, supply or publish items previously granted in-principle approval
• permit renewals or an in-principle approval.

Application Procedure:

When applying through the EIB for a permit, researchers must complete and/or submit the following:

1. Complete the DEC Awareness Training Modules and provide a copy of the self-assessment result.
2. Complete the LTU Foreign Engagement Assessment Tool.
3. Arrange a time to review both (1) and (2) with EIB before initiating your application.
4. Once advised to proceed to application for a Defence Export Controls permit, provide:
   1. a description of the DSGL items
   2. details of the proposed activities (export, supply or publish) involving the DSGL items
   3. the location for the activities
   4. date/s or period/s over which these activities will occur and
   5. the end-user/s.

Only LTU staff can be named as an applicant on a DTC permit application. EIB will review the application prior to submitting in MADE for the DEC team in the Department of Defence, for approval.

EIB will advise researchers of the outcome of the application and forward a copy of any permit obtained, for their information and records.

All applications must be approved, with confirmation and a copy of the permit received from the DEC team before any controlled activities are undertaken or commence.

Post Approval Procedure:

Once approved, researchers must:

1. Comply with all conditions of the permit,
2. Ensure the required records are kept, and
3. Take all reasonable steps to establish whether they are dealing with people who will use the exported or supplied items for legitimate purposes.

Under section 6 of the Defence Trade Controls Act 2012 and section 6 of the Defence Trade Controls Regulation 2013, a holder of a permit under the Act must keep records of any supply they make under the permit.

EIB will record the following information:

• The name of the researcher and details of the research project in which the activity resulting in supply or publication will occur.
• A description of the DSGL technology supplied under the permit.
• The permit number under which the DSGL technology is supplied.
• The name of the person to whom the DSGL technology was supplied.
• For each supply of DSGL technology under the permit, the date of supply or the period(s) of time during which the DSGL technology was supplied.
• Any conditions made by the DEC on granting a permit.

Records must be maintained for five years from the date of supply or from the end-date of the period of supply allowed by the permit, whichever is longer.

Negative Outcome

If Defence finds potential risks in an export application, they will notify the applicant and give them a chance to respond and present their case. Defence will review any submissions from the applicant and, if needed, include them in their advice to the Minister for Defence. Only the Minister can ultimately refuse or ban an export.

Procedural Fairness: If Defence plans to recommend that the Minister refuse or ban an export, they will follow a procedural fairness process, which means:

• Applicants can respond to Defence’s preliminary decision before it is finalized.
• The decision-making process will be fair and unbiased.

Defence will send a letter to the applicant explaining why they propose to refuse or ban the export. The applicant has 10 business days to reply, and extensions can be granted if needed. For more details on how to handle a negative outcome, visit the DEC Decision Reviews webpage.

Supporting documents

Export of DSGL goods, or goods containing DSGL technology (tangible) (PDF, 2.62 MB)

Supply of DSGL technology and software (intangible) (PDF, 2.59 MB)

Supply of DSGL technology and software within Australia to foreign person (10A) (PDF, 1.73 MB)

Certain supplies of DSGL goods, software, and technology from outside of Australia (10B) (PDF, 1.66 MB)

Provision of DSGL Services outside Australia (10C) (PDF, 1.7 MB)

Amendments

At the request of an exporter, Defence may make small amendments to an issued permit. EIB will make the request, on behalf of the researcher, in writing, using the below amendment form. All amendments are at the discretion of the delegate. Defence may ask for the submission of a new application.

EIB will advise researchers of the outcome of their request for amendment which then be noted on the EIB register.

Where researchers want to make a significant addition or revision (for example, addition of new destinations or multiple new end users or consignees, or significant increases in quantities, or different technology) a new application will be required.

Amendment request form (PDF, 172.37 KB)

Amendment policy (PDF, 157.22 KB)

Under section 6 of the Defence Trade Controls Act 2012 and section 6 of the Defence Trade Controls Regulation 2013, a holder of a permit under the Act must keep the following records of any supply they make under the permit:

• A description of the Defence and Strategic Goods List (DSGL) technology supplied.
• The unique identifier of the permit.
• The name of anyone to whom the permit holder supplied the technology.
• For each supply:
  • the date of the supply, or
  • if the permit covers the supply over time, the period, or periods of time during which the permit holder supplied the DSGL technology.

The permit holder must retain the records for five years from the date of supply or from the end date of the period of supply allowed by the permit, whichever is longer.

Following Australian export control laws is crucial for aligning transfers with national interests and international obligations.

Breaching export controls is a criminal offence that in certain circumstances may result in severe penalties (including prosecution) being applied. Defence promotes proactive regulation by providing educational resources and tools to support compliance and ethical behaviour. They also encourage voluntary disclosure if there are concerns about non-compliance.

Defence undertakes various activities to:

• Raise awareness about Australia's export controls.
• Ensure activities comply with approvals.
• Identify and address non-compliance issues.

Penalties and breaches

Before starting any controlled activities, it's crucial to understand the legal requirements, permit conditions, exceptions, and potential penalties for non-compliance. If you suspect a breach, you should make a voluntary disclosure.

Penalties for breaking the law can range from outreach and education to formal warnings, fines, and criminal prosecution.

Customs Act:

• Exporting goods on the Defence and Strategic Goods List (DSGL) or goods subject to a prohibition notice without authorization is an offence. Penalties are detailed in the Customs Act 1901 and Customs (Prohibited Exports) Regulations 1958.

Defence Trade Controls Act:

• Offences include:
  • Exporting DSGL technology without a permit or against permit conditions.
  • Supplying DSGL technology to foreign persons or outside Australia without a permit.
  • Publishing or brokering DSGL technology without a permit or in violation of permit conditions.
  • Penalties can include fines, imprisonment for up to 10 years, or both.

Weapons of Mass Destruction Act:

• Offences include:
  • Supplying or exporting goods for a Weapons of Mass Destruction (WMD) program without a permit or against permit conditions.
  • Providing services that assist a WMD program.
  • Penalties apply for breaching prohibition notices or permit conditions.

Sanctions:

• Exports may be subject to UN or Australian sanctions. For details on sanctions and non-compliance, check the Department of Foreign Affairs and Trade website.

Criminal Code Act:

• Making false or misleading statements in permit applications can lead to penalties as outlined in the Criminal Code Act 1995.

A different but overlapping area of Commonwealth regulation is sanctions. Sanctions are measures imposed in situations of international concern, including the repression of human rights, the proliferation of weaponry or existing armed conflict. Sanctions do not involve the use of armed force but impose restrictions on:

• activities that relate to particular countries
• goods and services
• persons and entities

Australian sanction laws implement the United Nations Security Council (UNSC) sanctions regimes and the Australian Autonomous Sanctions regimes. Sanctions may be relevant to:

• presentations at conferences in sanctioned countries
• research collaborations with citizens/entities from sanctioned countries in prohibited areas
• the provision of technical advice, assistance or training in sanctioned goods or technologies
• the supervision of research students in areas of study that risk breaching sanctions

More information on sanctions is available on the Department of Foreign Affairs sanctions webpage and La Trobe International.

Feedback, Questions and Complaints

If you would like to make a complaint or provide feedback on the La Trobe University Defence Export Control process, it may be submitted to the Senior Manager, EIB, in writing via eib@latrobe.edu.au using the Ethics Integrity and Biosafety Complaints Form.

Following receipt of a complaint the Senior Manager or their nominee may seek further information from you, as necessary. The Senior Manager, EIB, or nominee will provide a report to the Research and Graduate Studies Committee on the outcome of any complaint and include a recommendation for any further actions.

All Complaints will be recorded in the EIB Complaints Register.

Complaints will remain confidential.

For queries about this process, contact the Senior Manager EIB:

T: +61 3 9479 1443

E: eib@latrobe.edu.au