HDR United Nations and Autonomous Sanctions Compliance Procedure

Intent

This Procedure details the process and compliance requirements associated with assessing applications for Higher Degrees by Research (HDR) from prospective candidates who are citizens of countries with a United Nations Sanction and/or Australian Autonomous Sanction (UNAS) regime in place, as well as the continuing compliance obligations associated with these HDR candidates for the duration of their candidacy.

This Procedure addresses Higher Education Standards Framework (HESF) Standard 1.1: Admission.

Scope

This procedure applies to staff responsible for undertaking the required review of applications for the higher degree by research (HDR) courses offered by the University, and to staff responsible for ongoing UNAS compliance. This procedure applies to all international HDR candidates under the Sanctions schemes who engage with research activity at an Australian campus either on site or remotely.

Definitions

Terms mentioned in this Procedure and not defined here are defined in the Policy Glossary and in the HDR Requirements.

Sanctions - refers to the United Nations and Autonomous Sanctions as Australian sanctions law, as managed by the Department of Foreign Affairs and Trade (DFAT).

Procedure

1. Compliance at Application

1.1 On receipt of a complete application for a HDR by an international applicant, the Graduate Research School (GRS) will check the following against the Department of Foreign Affairs and Trade (DFAT) Consolidated List:

(a) Applicant’s name;

(b) Names of any listed referees or academic advisors;

(c) Names of any listed co-authors of publications;

(d) Institutions attended; and

(e) Names of any listed employers or sponsors.

1.2 If any of 1.1(a) to 1.1(e) appear on the DFAT Consolidated List, this information is recorded on APP-FORM-02 and the application is referred to International Compliance for assessment. International Compliance will determine whether the application can proceed based on the extent of the affiliation.

1.3 If International Compliance advises the application cannot proceed, the GRS will advise the applicant and Primary Advisor that the application will be automatically excluded with no avenue for appeal.

1.4 If International Compliance advises the application can proceed, the GRS will check whether the applicant’s country of citizenship has a sanctions regime in force by checking the DFAT Sanctions regimes list.

1.5 If the country is not on the DFAT Sanctions regimes website, the application will proceed as per the HDR Application Procedure. If the country is on the DFAT sanctions regimes list, the GRS will record this on the APP-FORM-02 and initiate URA-FORM-01 United Nations and Autonomous Sanctions Risk Assessment Form.

1.6 Using the URA-FORM-01, the Primary Advisor will complete a risk assessment and risk management plan (if required), which must be endorsed by the College Dean. If the assessment is endorsed to proceed, the application will proceed to the Chief of Staff for approval after which the application should proceed as per the HDR Application Procedure.

1.7 The risk assessment must consider the Defence and Strategic Goods List (DSGL) with respect to both direct (part 1) and dual-use (part 2) potential.

1.8 Any signatory of URA-FORM-01 may decline the application at any stage of the risk assessment process. The decision to decline an application is final and there is no avenue for appeal.

2. Continued compliance

2.1 Once an applicant from a sanctioned country has been enrolled, the HDR candidate’s Primary Advisor is responsible for ensuring the HDR candidate and their research is compliant with the sanctions at all times.

2.2 A HDR candidate’s compliance with the sanctions may be affected by the following:

(a) Changes to the sanctions regime for that country, made by the United Nations or DFAT; or

(b) Changes to the research project of the candidate.

2.3 If sanctions for countries are changed or introduced, International Compliance must inform the Manager, Graduate Research School as soon as possible, who will relay the information to the Primary Advisor of any affected HDR candidates. The Primary Advisor must make any required changes to ensure compliance.

2.4 If changes are proposed for a HDR candidate’s research, the Primary Advisor must assess whether the changes will affect compliance with any sanctions the HDR candidate may be subject to by using URA-FORM-01. Any changes to the research project must not be implemented until the required checks have been undertaken and the approval of the Chief of Staff is given in writing.

2.5 Working with individuals, countries or organisations under sanction can affect a broad range of University activities and the level of vigilance applied to manage this. Advisors must be familiar with the University’s Foreign Interference Policy and the Foreign Contact Concern Report. Reports are to be made by researchers who have contact with a foreign national that seems unusual, suspicious, persistent or ongoing and relating to a foreign national's involvement or interest in University operations or infrastructure.

2.6 Contravening a sanctions measure, or giving false or misleading information in connection with administering sanctions law constitutes a criminal offence and is punishable for individuals by up to 10 years in prison. Refer to the DFAT website for more information about penalites.

Related policy instruments

Higher Degree by Research Policy

HDR Application, Admission and Enrolment Procedure

Foreign Interference Policy

Schedules/Appendices

Nil

Administration

NOTE: Printed copies of this procedure are uncontrolled, and currency can only be assured at the time of printing.

Approval Details

Revision History