Autonomous Sanctions Assessment Form for RHD Candidates

Office of Graduate Research GPO Box 2100 Adelaide 5001 Australia Email: [email protected] Website: flinders.edu.au/graduate-research/ Phone: (08) 8201 5893

Autonomous Sanctions Assessment Form for RHD candidates This form is used to undertake a risk assessment of an application for admission to research higher degree candidature from a citizen from a country with Autonomous Sanctions imposed by the Department of Foreign Affairs and Trade (DFAT) via the Autonomous Sanctions Act 2011 and Autonomous Sanctions Regulations 2011 that comply with the United National Security Council (UNSC) sanctions. The Australian Autonomous Sanctions countries with a prohibition on providing a ‘sanctioned service’ are: Burma, Crimea and Sevastopol, Russia, Syria, Ukraine, former Yugoslavia, Zimbabwe, Democratic People’s Republic of Korea (North Korea), Iran, and Libya, and. The UN Security Council countries with a prohibition on providing a ‘sanctioned service’ are: Central African Republic, Cote d’Ivoire, Democratic Republic of the Congo, Eritrea, Iran, Iraq, Lebanon, Liberia, Libya, Democratic People’s Republic of Korea (North Korea), Somalia, Sudan and Yemen. For further information refer to: dfat.gov.au/sanctions/sanctions-regimes/. To obtain a brief understanding of Autonomous Sanctions refer to: dfat.gov.au/sanctions/index.html. For further information refer to the Appendix J: Policy on Autonomous Sanctions for Research Higher Degree Candidates. The form should be completed by the Principal Supervisor of the proposed candidate and approved by the Chair of the Faculty RHD Committee. The Faculty submits the completed form to the Office of Graduate Research. Please note that the Dean of Graduate Research will not consider the form unless sections A-G (and attachments, if necessary) have been completed. Flinders University is required to comply with these sanctions as they have the potential to expose the university to a certain degree of risk. The sanctions can include restrictions on certain technical advice, assistance or training in addition to financial restrictions. The University relies upon the checks by Australian banks and the Department of Immigration and Border Protection (DIBP) as well as internal processes adopted as the exercise of reasonable precautions and due diligence to identify and respond to the possible receipt of a payment of tuition fees from a Prohibited Person or Entity. The university will breach the Act if it is unable to prove that it has taken ‘reasonable precautions’ and ‘exercised due diligence’ in the assessment of research higher degree applications. The university has a responsibility to complete a risk assessment and monitor existing research higher degree candidates and assess all new research higher degree applications. Individuals could be liable for a fine the greater of $425,000 or three times the value of the transaction or up to 10 years imprisonment. The university could be liable for a fine the greater of $1.7 million or three times the value of the transaction. Note: International Sanctions can be subject to frequent, rapid and significant change by the Australian government. Accordingly, this form is also subject to change. The Office of Graduate Research is responsible for updating this form and advising relevant staff of any changes advised by DFAT. Correct as at 19 June 2015. A. CANDIDATE'S DETAILS

Name: Student ID:

Email:

Degree: Department/School: ______

Does the applicant wish to be considered for: Admission only or Admission and scholarship Citizenship of person concerned:

Is the applicant a permanent resident of Australia? Yes/No If YES consider the candidate’s citizenship and research project and complete the form accordingly.

Does the applicant hold an Australian Humanitarian Visa? Yes/No If YES no further action needed. Please sign section D and submit this form.

Does the applicant’s name appear on the DFAT Consolidated List? Yes/No If YES the applicant will not be offered admission. Please sign section E and submit this form. NB: The Consolidated List is a list of all persons and entities who are subject to targeted financial sanctions or travel bans under Australian sanctions laws.

Name of Principal Supervisor:

Name of Associate Supervisor(s):

Name of Adjunct Supervisor(s), if appropriate:

Research Project Title:

1 Research Project Description:

B. ASSESSING AND IDENTIFYING THE RISK 1. Please consider whether the applicant’s research project could be could be used for other than peaceful means; this is an area of concern for the government.

Yes If yes, provide details below. or No ______

2. Please review the items listed on the government’s Defence and Strategic Goods list. Refer to question *. See below and refer to: comlaw.gov.au/Details/F2011L02061.

The Defence and Strategic Goods List (DSGL) includes equipment, assemblies and components, associated test, inspection and production equipment, materials, software and technology and is divided into two parts:

PART 1 covers defence and related goods — those goods and technologies designed or adapted for use by armed forces or goods that are inherently lethal. These goods include: – Military Goods — those goods or technology that are designed or adapted for military purposes including parts and accessories thereof. – Non Military Lethal Goods (NMLG) — that equipment that is inherently lethal, incapacitating or destructive such as non-military firearms, non-military ammunition and commercial explosives and initiators.

PART 2 covers those goods that have a dual use. Dual-use goods comprise 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. This part is further subdivided into and is made up of the following 10 categories: – 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 and Lasers; – Category 7 — Navigation and Avionics; – Category 8 — Marine; – Category 9 — Aerospace and Propulsion

The DSGL is amended from time to time to reflect changes in the various multilateral non-proliferation and export control regimes of which Australia is a member.

Please note: There is no single list of controlled goods, however, which applies to all ‘sanctioned-service’ countries. Rather, Australian law gives effect to a variety of export control regimes including those related to ‘arms and related material’ in the Charter of the United Nations Regulations and the Autonomous Sanctions Regulations. There are, in addition, country specific sanctions, regulations and controlled goods.

Additional lists that should be consulted include (there may be some duplication between lists): – The Defence and Strategic Goods List: defence.gov.au/deco/DSGL.asp (Quick reference Guide: defence.gov.au/deco/DSGLQRG.asp.) – The Australia Group Common Control Lists: australiagroup.net/en/controllists.html.

2 Items on this list 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; Human and Animal Pathogens and Toxins; and Plant pathogens. – Autonomous Sanctions (Export Sanctioned Goods – Iran) Amendment Specification 2013: comlaw.gov.au/Details/C2014G00121. – Charter of United Nations Legislation Compliance: comlaw.gov.au/Details/C2010C00774. Items on this list include: Nuclear materials, facilities and equipment; Nuclear materials, chemicals, microorganisms and toxins; Materials processing; Electronics; Sensors and lasers; Navigation and avionics; and Further dual-use goods of utility in a nuclear program.

* Please consider if the applicant’s research project includes any of the items listed on the government’s Defence and Strategic Goods list. Yes If yes, provide details below. or No ______

3. Based on the assessment above, do you believe the applicant’s research project is low, medium or high risk? Please indicate below and provide details if necessary.

Low risk

Medium risk Details of the Medium risk: ______

High risk Please note: Applications from citizens of ‘sanctioned service’ countries that are still undergoing this rigorous assessment process will not be shortlisted for scholarships until approval from every necessary level is granted. The reason for this is that the process can be very time consuming and the university cannot allocate scholarships to applicants who have not been offered admission or hold scholarship offers indefinitely. Details of the High risk: ______

C. ACCESS TO LABORATORIES 1. Will the applicant have access to laboratories (such as computer, chemical, biological, mechanical, robotic, computer science labs, et al)? Yes (If yes, provide details of the laboratories, including room number, below.) or No

2. Are any items listed in the Defence and Strategic Goods List (DSGL) available in the above-mentioned laboratories? Yes (If yes, provide details below about how these goods will be kept secure.) or No

D. COMPLETED BY PRINCIPAL SUPERVISOR

I declare that:  I am aware of the Australian Autonomous Sanctions regime and the policy and procedures at the University to ensure compliance with the regime;  All information and assessments provided on or appended to this Form are true and correct to the best of my knowledge, information and belief;

3  I understand that providing false information in the Form resulting in a breach of the Autonomous Sanctions regime could result in serious penalties for me and/or the University as outlined on page 1;  If the applicant is admitted, the project, project requirements and research environment will be monitored for compliance at confirmation of the project and Annual Reviews of Progress; and  Any change in the status of this project, project requirements and research environment that may affect compliance with the Autonomous Sanctions regime will be reported to the Dean of School, Chair of the Faculty Research Higher Degrees Committee and the Office of Graduate Research.

Name: (Principal Supervisor)

Signature: Date: ____/____/______E. APPROVED BY DEAN OF SCHOOL (or nominee) I declare that:  I am aware of the Australian Autonomous Sanctions regime and the policy and procedures at the University to ensure compliance with the regime;  I am aware that the risk assessment of the attached application has been completed by the Principal Supervisor with the essential methodological and theoretical expertise to provide a thorough and meaningful risk assessment;  I agree that if the applicant is admitted, the project, project requirements and research environment will be monitored for compliance at confirmation of candidature and Annual Reviews of Progress; and  I am aware that the supervisor has agreed that if there is any change in the status of this project, project requirements and research environment that may affect compliance with the Autonomous Sanctions regime they will be reported to me (Dean of School), Chair of the Faculty Research Higher Degrees Committee and the Office of Graduate Research.

Name: (Dean of School (or nominee))

Signature: Date: ____/____/______F. FACULTY DETERMINATION

The Faculty approves/does not approve this application. If not approved, state the reasons:

Name: (Chair, relevant Faculty RHD Committee)

Signature: Date: ____/____/_____

G. UNIVERSITY DETERMINATION

Risk Rating of the application: Low risk (Can be admitted for candidature, if approved.)

Medium risk (Application will be referred to DFAT.)

High risk (Application will be rejected.) The University approves/does not approve this application. If not approved, state the reasons:

Name: (Dean of Graduate Research)

Signature: Date: ____/____/_____

OFFICE OF GRADUATE RESEARCH USE ONLY

Date: ____/____/_____ Received by OGR Date: ____/____/_____ Considered by the Dean Date: ____/____/_____ Faculty advised of outcome for offer notification Date: ____/____/_____ Recorded on Student Two Date: ____/____/_____ If Scholarship holder/applicant notify [email protected] Date: ____/____/_____ Filed on TRIM Comments:______