The University of Newcastle, Australia

International Sanctions Check

Sanctions Process

The International Sanctions Compliance Assessment is a requirement of the Higher Degree by Research admission process. Individuals who are Australian citizens, permanent residents or holders of Australian humanitarian visas do not require assessment.

If it is applicable, the International Sanctions Compliance Assessment form will be included in the combined admission assessment pack to be assessed by the relevant School and Faculty. The form is to be completed by the nominated supervisor and Head of School/nominee, and must be signed off by both.

The assessment is undertaken using resources provided by DFAT and where a link is identified, the application will be further considered by the Faculty Pro Vice-Chancellor. If the Faculty Pro Vice-Chancellor supports the application, the application must be referred to the PVC (Research and Innovation) for approval.

If you have any questions regarding the completion of the form please contact:

Technical questions: Head of School
Compliance questions: Assurance Services

General Information

Overview

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

  • Multilateral sanctions (based on resolutions made by the United Nations Security Council, of which Australia is amember)
  • Autonomous Australian sanctions (Australian Government policy)

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

Purpose

The purpose of this form is to perform a risk assessment in order to ensure the University’s compliance with the Charter of the United Nations (UN Sanction Enforcement Law) Declaration 2008, the Australian Autonomous Sanctions Act (Cth) 2011 and the Autonomous Sanctions Regulations (Cth) 2011. More information about sanctions is available from the Department of Foreign Affairs and Trade (DFAT) at www.dfat.gov.au/un/unsc_sanctions/index.html

How this applies to UON

Prior to offering a higher degree by research place, appointing a staff member or commencing any collaboration with a sanctioned country, the University must assess:

  • Whether the service (i.e. the University providing technical assistance, training or advice) is related to the manufacture or use of ‘export sanctioned goods’ (including dual-use goods).
  • Whether the service would increase that country/regime’s capacity to manufacture or use those export sanctioned goods
  • Whether the service would be provided to someone with a sufficient connection to the sanctioned country/regime

Controlled Goods

There is no single list of controlled goods that applies to all sanctioned countries. 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.

To assist with assessment, DFAT has indicated that the Defence and Strategic Goods list (DSGL) may be used as a proxy, in the first instance, for a comprehensive controlled goods list.

Click here for a link to the DSGL, including a Quick Reference Guide: http://www.defence.gov.au/deco/DSGL.asp

Countries/Regimes subject to sanctions

Detailed information about the particular sanctions measures imposed by a particular sanctions regime can be found at: http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/Pages/sanctions-regimes.aspx

The sanctions regimes currently implemented under Australian sanction laws are shown in the diagram

* Also includes UNSC sanctions in relation to the protection of cultural heritage In Iraq and Syria.

Penalties

The University and individual staff could be liable for breaching these sanctions if they are unable to demonstrate that 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 criminal law penalties (fines and gaol) are significant:

  • For individuals there is a maximum of 10 years imprisonment or a maximum fine that is three times greater than the value of the transaction in breach of the sanction (if this can be calculated) or $475,000. For corporations, the penalty is either $1.7 million or three times the transaction value (whichever is higher).

Commonly Used Terms

Different sanctions regimes impose different sanctions measures. The United Nations Act, the Autonomous Sanctions Act and the Autonomous Sanctions Regulations use common terms to describe sanctions measures, including:

  • Providing a ‘sanctioned service’;
  • Dealing with a ‘designated person or entity’;
  • Using or dealing with a ‘controlled asset’; or
  • The entry into or transit through Australia of a ‘designated person’ or a ‘declared person’.
TermDefinition
Arms or Arms Related MaterielWeapons, ammunition, military vehicles and equipment, spare parts or accessories, and paramilitary equipment.
Asset

Includes an asset or property of any kind, whether tangible or intangible, movable or immovable.

Basic Scientific ResearchExperimental 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. DFAT considers training that constitutes ‘basic scientific research’ to be insufficiently specialised to constitute technical training.
Consolidated ListA list of all persons and entities subject to targeted financial sanctions or travel bans under Australian sanction laws. The list is maintained by DFAT.
Controlled Asset/GoodAn asset/good owned or controlled by a designated person or entity.
Designated Person or EntityPersons who or entities which have been designated (by the Minister) for the purposes of sanctions regimes implemented under Australian sanction laws. Under Regulation 6 the Minister may:
a) Designate a person or entity mentioned in an item of the table in as a designated person or entity for the country mentioned in the item;
b) Designate a person or entity as a designated person or entity if the Minister is satisfied that the person or entity is contributing to the proliferation of weapons of mass destruction.
Declared PersonA person who is declared by the Minister for the purpose of preventing the person from travelling to, entering or remaining in Australia if the Minister is satisfied that the person is contributing to the proliferation of weapons of mass destruction.
Export Sanctioned GoodsAny goods listed as being sanctioned for a nominated sanctioned country, which means it is prohibited to provide services such as education or training in the manufacture, maintenance or use of the listed good.
Sanctioned Country or RegimeA country or regime that is subject to sanctions imposed under the Charter of the United Nations Act or the Autonomous Sanctions Act.
Sanctioned ServiceIncludes the provision to a person of technical advice, assistance or training if it assists with, or is provided in relation to, a sanctioned supply.
Specified EntitiesEntities specified by the Minister either because they have links to Iran’s prohibited activities, or because they operate in sectors of Iran’s economy that the UNSC has identified as having the potential to contribute to Iran’s prohibited activities.
VisitorA person hosted at a University of Newcastle campus from another Australian or international university, or another level of education, research organisation or industry to undertake one of the following activities: research; delivering workshops; presenting lectures; participating in a conference; sharing knowledge and information; attending meetings; observing University activities; providing consultancy services.