United Nations Security Council & Australian Autonomous SanctionsHigher 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:

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: 9 September 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.

Sections to Complete (Candidature Management Advisor 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 applicants citizenship. Please check the sections that need to be completed for this applicant;

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 Russia, Crimea & Sevastopol Section D4: Citizens of Democratic Peoples Republic of Korea 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 Candidature Management AdvisorGraduate 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 applicants 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:

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)

Professional Doctorate

Master by Research

Course Code:

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)

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.

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:

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:

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 applicants 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:

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.

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