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Key concepts and FAQs

Key Concepts

Supply

 when controlled technology, or access to that technology, is provided to users located outside of Australia

Publication

 when controlled technology is placed in the public domain

Pre-publication

 activities that support the publication process, such as supplying a draft publication to an international collaborator for review, or to a publisher or a peer reviewer

Export

 sending DSGL technology in physical form from Australia to a place outside of Australia

As a first step, it is important to understand whether the goods or technologies you are using or developing actually trigger control thresholds.

A Self-Assessment tool has been developed to assist in determining whether your activities are controlled. Access to the Self-Assessment tool is available here.

Many of the following FAQs have been taken/adapted from scenarios posted on the Defence Export Control Office (DECO) website.

FAQs

General

How do I determine whether my research is controlled?

A Self-Assessment tool has been developed to assist in determining whether your activities are controlled. Access to the Self-Assessment tool is available here.

I've completed the Self-Assessment but I have a question relating to my research.

The UniSA Research Office can provide assistance. On behalf of the University, the UniSA Research Office is registered as a DECO Client and will request advice from DECO on your behalf if needed.

Contact us via email or give us a call.

My research is controlled and I need to obtain an approval or permit.

On behalf of the University, the UniSA Research Office is registered as a DECO Client and will raise an application with DECO on your behalf.

Contact us via email or give us a call.

Publication

What is the difference between 'supply' and 'publication'?

The key question to consider is "Will the 'DSGL technology' be made available in the public domain?".

If DSGL technology is being made available to the public by placing it in the public domain, for example via a journal or website, and there are no access restrictions then it is a 'publication'. Note: having to pay to view the information is not an access restriction.

If access to the DSGL technology is controlled or restricted to only particular users or groups, it is a 'supply'. Examples include a closed conference where only members from a select organisation or group can access the conference papers, or a website or database requiring a login and password to access the DSGL technology and only a select group can login (for example, members of the same course, business, project team, group or association). These activities are a supply and a permit is required.

I plan to publish a scientific paper describing the results of my research, which is on technology listed in the DSGL. Do I need a permit to send a copy to my publisher abroad?

Is your technology listed on Part 1 or Part 2 of the DSGL?

  • If your paper includes only Part 2 DSGL technology you will not need a supply permit as sending a paper to a publisher is preparing for a publication and is therefore exempt as a pre-publication activity.
  • If your paper includes Part 1 DSGL technology, you will need a supply permit to send a copy to your publisher abroad. (There are no exceptions for pre-publication supplies for Part 1 technology).

Do I need a permit to send a draft copy of the paper to my co-author located overseas? Does my overseas co-author need approval to send the paper to the publisher?

If your paper includes only Part 2 DSGL technology:

  • Sending a draft copy of the paper is a pre-publication activity and is exempt from controls.
  • If your co-author is located overseas, they do not need a permit to send the paper to the publisher as this is a supply activity occurring outside Australia. (Supply activities occurring wholly outside Australia are not caught by the supply offence).

If your paper includes Part 1 DSGL technology:

  • You will need a permit to supply it to your co-author.
  • If your co-author is located overseas, they do not need a permit to send the paper to the publisher as this is a supply activity occurring outside Australia.

Does it matter if I did the research in Australia or overseas? Or if I publish while in Australia or overseas?

Where you did the research does not matter:

  • If your paper includes Part 1 DSGL technology that is not already in the public domain and no other DSGL exemptions apply, you will need approval to publish if you are in Australia or you are an Australian citizen or resident located overseas.
  • If your paper includes Part 2 DSGL technology you will not need approval.

The research I'm writing about is supported by an arrangement/grant from the Government. Does that make any difference under the export legislation?

Export controls apply regardless of the source of research funding.

Do I need approval to share the metadata (e.g. bibliographic information such as author, title, publication date etc) of published or unpublished works on the Internet or in an institutional repository?

  • Simply mentioning the DSGL item does not make it a controlled activity.
  • The material is only controlled if it provides the necessary information to allow another person to develop, produce, or in some cases use the technology.
  • If the published material does not meet the control threshold then no approvals are required.

I am undertaking 'basic scientific research', which could potentially have a dual use. Are there any concerns about publishing the research in journals or presenting the research at an overseas conference?

'Basic scientific research' is exempt from export controls. You will not require approval to publish the material or speak on it at a conference in Australia or overseas.

If the end user of my research is an Australian national security agency they already make sure any sensitive or classified information is removed from my draft publication before I can submit it for publication. Is this sufficient to allow me to publish?

The agency is providing you with a security clearance for the publication but they have not necessarily considered whether the publication contains controlled technology. If the draft publication may contain Part 1 DSGL technology you should contact the UniSA Research Office who will assist you with submitting an Application for DSGL Assessment and/or a permit application if required.

Conferences

I have been invited to present at a prestigious international scientific conference (outside Australia) on technology listed in the DSGL. Scientists in the field are given an opportunity to submit applications to attend. Invitations are given to those judged to be the leading researchers in the field, and attendance is by invitation only. Some of the attendees will be non-Australian persons. Do I need a permit to present?

No. A supply permit is not required to present at the conference.

However you might need to consider:

  • Whether you will require a permit to supply (e.g. email) your presentation from Australia to the conference organisers located overseas.
  • If you are taking it outside of Australia in a tangible form, for example printed hard copies or stored on a laptop, you will need an export permit.
  • If the paper is only going to be distributed to the selected conference attendees, this is not a publication and no pre-publication supply exceptions for DSGL Part 2 technology will be available i.e. you would need to apply for a supply permit to distribute the paper in this way.

Can I use PowerPoint slides containing DSGL technology at my presentation? Is this still considered an oral presentation?

As the PowerPoint slides are written, they are subject to export controls when sent from Australia to overseas.

You would need a supply permit to email your PowerPoint slides from Australia overseas.

If you take the slides with you from Australia to overseas in hardcopy, stored on your laptop or on a media storage device, you will need an export permit.

I am an Australian researcher giving an oral presentation outside of Australia that contains Part 1 and Part 2 DSGL technology, and that presentation is to be podcast or recorded, do I need a permit?

No permit is required to provide an oral presentation outside Australia. The activity of recording a presentation is also not subject to export controls.

For part 2 DSGL technology, the publication of the recording is not controlled.

For the technology captured by Part 1 of the DSGL: if you are a person located in Australia or an Australian citizen or resident located outside of Australia who publishes the podcast or recording, you will need to seek approval from the Minister for Defence to publish.

Would it make any difference if there were a prohibition on making any notes or other personal record of what transpires at the conference?

No, conditions established by the conference organisers have no impact on export controls.

Would it make any difference if the conference were to take place in Australia?

You will not require a permit to present at the conference as the supply of DSGL technology wholly within Australia is not controlled.

Would the answers to any of the previous questions be different if my work were supported by the Federal Government?

No, research funding arrangements have no impact on export controls.

Research students and supervisors

As a research student, do I need approval to publish my thesis electronically via an institutional repository, which can be accessed by the general public?

Is your technology listed on Part 1 or Part 2 of the DSGL?

  • If the thesis includes Part 2 DSGL technology you will not need approval to publish.
  • If the thesis includes Part 1 DSGL technology that was not already in the public domain, then placing it on the repository will require publication approval.

My Ph.D. thesis is on technology listed in the DSGL Part 2 and has never been published. However, the thesis is available at the institutional repository which is accessible by the general public. Do I need approval to send another copy to a colleague overseas?

No. This technology has already been published by making it available to the public via the institutional repository. Once published it is no longer controlled and no supply permits are required.

A student has completed their thesis and the supervisors have decided that the most appropriate examiners are based overseas. If the thesis contains information on the use of, or results obtained pertaining to technology listed in the DSGL, can the thesis be sent overseas for review?

Is your technology listed on Part 1 or Part 2 of the DSGL?

  • If the thesis contains Part 2 DSGL technology then so long as the intention is to publish the thesis following completion of the examination process (e.g. in an institutional repository) no permit is required. The pre-publication supply exception is available for Part 2 DSGL technology. So long as there is an intention to publish then even if the thesis is embargoed for a period of time prior to being made available in the public domain the pre-publication supply exception is available.
  • If the thesis contains any Part 1 DSGL technology and no DSGL exemptions apply, then the person sending the thesis will need a supply permit to send the thesis overseas for review (the pre-publication supply exception is not available for DSGL Part 1 technology).

Visiting researchers

My university will host an international scientist who is an expert on research in engineered ceramics and composite materials. Do I require a permit before sharing my latest, as yet unpublished, research results with the visitor in Australia?

No. If the supply occurs in Australia, you do not require a permit as export controls only apply to the supply or export of DSGL technology from Australia to outside Australia.

My visiting scientist has returned to their home institution and we are looking to write up the results of our collaboration. Do I need a permit to exchange emails and data from our joint collaboration?

If your technology is listed on Part 1 or Part 2 of the DSGL you will require a permit to supply the technology to the researcher located overseas.

Would it make any difference if I were proposing to talk with my visiting scientist while they are overseas?

If you were to share your research orally with the researcher located outside Australia, you would not require a permit, unless you are providing access to DSGL technology or the supply is for use in a Weapons of Mass Destruction Program or for a military end-use.

Providing access to DSGL technology could include orally sharing with the researcher how to access the database containing your research (e.g. by giving them the username and password) - this falls outside of the oral supply exemption.

International collaborations

Could I do some work with an expert in their research laboratory overseas?

You would not require an export permit to work with the expert in their laboratory overseas.

I would like to compare as yet unpublished research results with a scientific colleague from another country and discuss the results with them when they visit Australia. Do I need approval to do so?

If your technology is listed in Part 1 or Part 2 of the DSGL then:

  • Sharing research results is considered a supply, and will need a supply permit. If you are only going to share results orally (e.g. telephone conversation), you will not need a supply permit.
  • When they visit Australia, you will not need a permit to share DSGL technology as the supply is occurring entirely inside Australia.

Do I need approval to conduct a research project on DSGL technology with international collaborators?

If the collaboration involves sharing DSGL technology with persons or entities outside of Australia, you will need a permit that covers all supplies or exports of controlled goods and technology. You can apply for a permit that will cover all exports or supplies of DSGL technology for the duration of the project.

Do I need a permit to undertake a research project for a US Defence Agency?

If the research involves Part 1 or Part 2 DSGL technology you will need a permit.

I am an international researcher working at a university in Australia for 12 months on a collaborative research project. As part of the research agreement, the universities have agreed that the data will be stored on the cloud service at my home university so I will be entering, analysing and downloading data and information from an international cloud service while I am located in Australia. I am working with DSGL technology. Do I need any permits?

No, if you are saving DSGL technology to a cloud service for storage purposes, with no intention of providing access to people outside Australia, you will not need a permit. However, if you give someone overseas access to your research on the cloud server then you will require a permit. You will also require a permit to supply your research to anyone overseas.

I have a joint research project with a foreign university. At the beginning of the project, I did not foresee that any of our results will be relevant to the development of DSGL technologies (especially Part 1). However, the results obtained now jointly in Australia and in the foreign university can be used for such purposes. What should I do?

If, through the conduct of your research, you come to the realisation that the outcomes may have resulted in DSGL technology, you should notify the UniSA Research Office. We will help you determine if a permit is required from DECO.

I work as a researcher at a publically-funded research agency in Australia. May I share the results of my unpublished research with foreign nationals without concern for export controls?

  • If you share your research with a person located in Australia, you will not need approval as the supply is occurring entirely inside Australia.
  • Supply controls apply to any DSGL technology leaving Australia. If you wish to share your research with people located outside Australia, and the research results are controlled, you will need a permit to supply the DSGL technology.

Do I need a permit for a foreign graduate student to work in my laboratory?

No. If your laboratory is in Australia, you do not require an export permit as export controls only apply to the supply or export of DSGL technology from Australia to a place outside Australia.

Note: Sanctions may apply to foreign students. See the University's UN and Autonomous Sanctions webpages for guidance on sanctions.

Research with/for multinational companies

I have undertaken research funded by a corporate sponsor, which includes technology listed in Part 1 of the DSGL, and while the funder is a registered Australian company, it has branches overseas. Do I need approval to provide reports to the company as I cannot guarantee they will not share with their other branches?

  • No, if you are providing DSGL technology to the company in Australia this is not controlled, as the supply is occurring entirely within Australia.
  • If the company were to then supply DSGL technology to one of its branches outside of Australia, the company will need to seek a supply permit to do so, unless any exemptions apply.

Travelling and working overseas

If I am travelling overseas what arrangements do I need to make regarding the DSGL Part 1 or Part 2 technology that is stored on my laptop and storage device?

This is a tangible export of DSGL technology. You will need an export permit to take the laptop and media storage device overseas with you, even if you have no intention of providing the DSGL technology to anyone while overseas.

If you decide not to take your storage device and access DSGL technology from the cloud service your university provides, you will not need a permit as you will not be providing access to the DSGL technology to another person outside Australia. Supply must occur from one person to another, and you cannot supply to yourself.

Editing and peer review

I am a peer reviewer of an international journal and I am located in Australia. What should I do if I am asked to review a paper and the content includes DSGL technology?

Is the technology listed on Part 1 or Part 2 of the DSGL?

  • If the content only includes Part 2 DSGL technology, no permit is required to send the review back to the journal outside Australia as it is a pre-publication activity.
  • If the content includes Part 1 DSGL technology, you will need a permit to send it back to the person overseas.

A publisher/peer is reviewing my draft publication and has requested the raw data, do I need a permit to send the data?

Is the technology listed on Part 1 or Part 2 of the DSGL?

  • If the data includes Part 2 DSGL technology, no permit is required from Defence as it is a pre-publication activity.
  • If the content includes Part 1 DSGL technology, you will need a permit to send it back to the person overseas.

I am an editor of a journal and I am located in Australia. What should I do if I need to send draft articles to peer reviewers located overseas?

Is the technology listed on Part 1 or Part 2 of the DSGL?

  • If the content only includes Part 2 DSGL technology, no permit is required to send the article to reviewers outside Australia as it is a pre-publication activity.
  • If the content includes Part 1 DSGL technology, you will need a permit to send the article to reviewers outside Australia.

Commercial consulting

I am an academic at an Australian university, with expertise in design and creation of submicron devices. I have been asked to be a consultant for a company in another country that wishes to manufacture such devices. Do I need approval to do so?

Will you be sending your controlled technology from Australia?

  • If the DSGL technology is controlled you will need a permit to supply it from Australia to the overseas company. You can seek a permit to cover all exports or supplies of DSGL technology for the duration of your consultancy services.
  • If you are working with the company while you are overseas you will not require approval, as the controls do not apply to supply of DSGL technology outside Australia.
  • If you take the DSGL technology with you on a laptop or media storage device you will require an export permit.

Patenting and patented information

What if I lodge a patent application containing DSGL technology?

If you lodge a patent either in Australia or overseas, you will not require a permit as the DSGL exempts information as part of the patent application process.

This patent exception is not available if the application contains Category 0 (nuclear materials) DSGL technology, in which case you will need a permit to lodge the patent application.

Is the export of patented information fully disclosed on the public record subject to export controls?

No. As this information is already on the public record, it is considered in the public domain and is not subject to export controls.

I have an invention that can be related to a DSGL technology (Part 1). I lodged a patent application in Australia, which will not be made public. One year later, the patent will go to the Patent Cooperation Treaty phase when the patent will be published. What procedures need to be followed in going into the Patent Cooperation Treaty phase?

Information provided as part of a patent application is exempt from export controls. This includes any application submitted as part of the Patent Cooperation Treaty process. Once patent information is published in the public domain, it is no longer subject to export controls.

Teaching

I teach a university graduate course on design and manufacture of very high-speed integrated circuitry. The course will take place entirely in Australia. Many of the students are non-Australian persons. Do I need approval to teach this course?

No, supplying DSGL technology wholly within Australia is not subject to export controls.

Note: Sanctions may apply to foreign students. See the University's UN and Autonomous Sanctions webpages for guidance on sanctions.

With consideration to the previous scenario - Would it make any difference if I share recent, and as yet unpublished results, from my laboratory research?

No. If you are sharing your research with people in Australia you will not require a permit.

Would it make any difference if I were teaching at a foreign university?

If you were teaching at a university outside Australia, you would not require a permit as the supply is occurring wholly outside of Australia.

If you take the DSGL technology with you from Australia on a laptop or media storage device you will require an export permit.

If you download the DSGL technology while you are overseas, no permit is required.

I teach proprietary courses on design and manufacture of high-performance machine tools. Is the instruction in my classes subject to the Australian export controls?

Assuming your DSGL technology is controlled:

  • If you are teaching the course in Australia, the work is not subject to export controls as the activity takes place wholly within Australia.
  • If the course is offered as an online course and students located overseas are enrolled, then you will require a permit to supply the DSGL technology to the overseas students.

I am teaching an online undergraduate unit at my university. The unit material draws on my research in DSGL technology. My face-to-face lectures are recorded and uploaded and are then accessed by enrolled students from all over the world, including from the international campuses that my university operates. Does the export controls legislation apply to my teaching activities?

Assuming your DSGL technology is controlled:

  • Education materials at the undergraduate or 'masters by coursework levels' of study are highly unlikely to be controlled, as the material is likely already in the public domain (e.g. available in textbooks).
  • If you are supplying DSGL technology that is not in the public domain, a permit will be required to supply the recordings from Australia to students located overseas (supply includes providing access to controlled technology).

Correspondence and sharing of information with UniSA colleagues

I wish to email my results and draft publication to colleagues within my organisation, but my organisation uses cloud technology for emails - is this an issue?

If you are supplying DSGL technology to colleagues located in Australia, you do not need a permit as the supply is taking place entirely within Australia.

If you email your colleagues or provide them access to the DSGL technology while they are overseas, you will need a permit regardless of whether the information is stored on a cloud and regardless of where the cloud servers are located.

If you save your files to the UniSA server and another UniSA staff member downloads these files from the server while overseas this is not a supply (unless you have given them a password to access the files) as a person cannot supply to themselves.

Records management

Do I need to manage my DSGL Part 1 or Part 2 information differently? Do I need to manage the records as protected with appropriate controls regarding cloud storage overseas?

You are required to keep records on any supplies or brokering arrangements that you make. There is no difference between record-keeping requirements for Part 1 or Part 2 DSGL technology. There are, however, different requirements in what information must be kept for a supply activity versus a brokering arrangement. Your permit will provide specific details.

Records must be kept for 5 years. There are no requirements to keep your records with specific security protections. You may be asked to produce your records by the Department of Defence.

Note: The University maintains records of the results of the Self-Assessment (including any attachments) and holds copies of permits.