Sanctions

Sanctions are measures imposed by governments as a means of influencing regimes to alter their behaviour. Australia imposes two main types of sanctions:

Sanctions restrict financial transactions and prohibit supply of military or strategic goods and services (including technology transfer, technical assistance or advice and dual use goods) to a sanctioned country or a designated person.

More information on sanctions is available from the Department of Foreign Affairs and Trade (DFAT) pages Australia and Sanctions.

At the University we are committed to upholding our sanctions obligations by conducting due diligence in international collaborations, student and staff engagements, research activities, and financial transactions.

It is a serious criminal offence to contravene a sanctions measure. The University and individual staff could be liable for breaching htese sanctions if unable to demonstrate they have taken 'reasonable precautions' and 'exercised due diligence' in the development and implementation of autonomous sanctions related policies, procedures and educational/training programs.

These penalties are significant:

  • Individuals: Up to 10 years imprisonment, and/or a fine of 2500 penalty units ($825,000 as of 7 November 2024) or three times the value of the transaction.
  • Bodies Corporate: A fine of 10,000 penalty units ($3.3 million as of 7 November 2024) or three times the value of the transaction.
How do sanctions affect research staff and students?

Australia's sanctions law prohibit the University from engaging with certain individuals (a designated or declared person), entities (a designated or specified entity), and countries.

Engagement includes providing access to specific types of training, services, technology, or resources, unless a sanction permit has been granted by the Australian Sanctions Office (ASO). These restrictions apply across a range of university activities, including research, teaching, international partnerships, financial transactions, and recruitment.

The most common activities of particular relevance to researchers could include:

  • Research staff recruitment;
  • Admission and enrolment of Higher Degree by Research (HDR) candidates;
  • Research collaborations (formal and informal) involving international partners;
  • Academic travel for collaboration, or conferences where sharing information may inadvertently enable access to sanctioned goods, technology, or research data;
  • Payments to sanctioned entities for goods and services; or
  • Research funding or commercial research income originating from or connected to sanctioned entities or countries.

Staff involved in any of these activities must ensure appropriate due diligence is undertaken and seek advice where necessary to comply with sanctions obligations.

For full guidance with examples of case studies, visit the Australian Sanctions Office's Guidance for Universities.

Compliance - HDR Students from sanctioned countries

The HDR candidature process includes a sanctions assessment for applicants from, or with known links to, sanctioned countries:

  1. the applicant's nominated supervisor must complete a Sanctions Risk Assessment (SRA) form.
  2. the SRA is submitted to the Deputy Head of School (Research Training) for review.
  3. if the application is recommended to proceed, the Graduate Research Office facilitates an offer.

If the offer of study is accepted and the candidate proceeds with study, supervisors must ensure HDR students from sanctioned countries are restricted from accessing controlled equipment, software, technology or materials not directly related to their research.

It is important to monitor and limit any changes to the scope of their research project. If the project scope does change, it is the responsibility of the individual supervisor to assess whether the variation introduces changes to the risk profile of the project and take appropriate action. Variations must be submitted to the Graduate Research Office to undertake subsequent sanctions assessments and approval flows.

The Research Integrity Office can also provide advice.

If it is funded research the Grants Office should be notified by way of the variation, and if ethics approvals are in place the Ethics Office should be notified.

Compliance - Research Collaboration and Activities

A sanctions permit may be required for certain activities to ensure compliance and avoid contravening the law.

Questions to consider:

Are any collaborators, institutions, or funders listed on the DFAT Consolidated List or affiliated with sanctioned countries?

Does the research activity include goods, technology, or software listed on the Defence and Strategic Goods List (DSGL)?

Could the research activity have military or dual-use applications? For more information refer to the University of Newcastle Defence Export Controls page.

Is the research taking place in, or being shared with, individuals or entities in sanctioned countries?

Does the research involve travelling to countries subjected to sanctions?

If you have answered 'Yes' to an of these questions, please contact researchintegrity@newcastle.edu.au for advice.

Additional Resources

The Australian Sanctions Office has developed the Sanctions Compliance Toolkit and the Sanctions Risk Assessment Tool to help researchers understand and comply with Australian sanctions laws. These tools provide clear, practical guidance on identifying potential risks in research activities, including international collaborations and data sharing.

By outlining key compliance principles, risk management strategies, and best practices, these resources support researchers in ensuring their work does not inadvertently breach sanctions regulations.