HDR Compliance Assessment Form - The University of Adelaide

21 Pages·2016·0.33 MB·English

by  Libby Hamilton

Please return the completed form to:
[email protected]

Adelaide Graduate Centre
The University of Adelaide SA 5005 AUSTRALIA
Tel: [phone] Fax: [phone] Email: [email protected] www.adelaide.edu.au
CRICOS provider number 00123M

HDR Compliance Assessment Form
Autonomous Sanctions
The purpose of this Form is to undertake a risk assessment to ensure an application for admission and/or scholarship for a
graduate research degree does not breach any of Australia's international sanctions.

The Commonwealth of Australia’s sanction laws implement United Nations Security Council (UNSC) sanction regimes and
Australian autonomous sanction regimes. The University of Adelaide 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’.

Serious penalties are imposed for breaching sanctions laws. The University could be liable for fines of up to the higher of $1.1
million or three times the transaction value. Individual staff members can also be personally liable, with a maximum of 10 years
imprisonment and/or fines of up to $270,000 or three times the transaction value.

More information about Autonomous Sanctions is available from the Department of Foreign Affairs and Trade (DFAT) at:
http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/pages/sanctions-regimes.aspx

A list of countries with a prohibition on providing a ‘sanctioned service’ and information regarding the University’s assessment of
applications from citizens of those ‘sanctioned-service’ countries is available at:
http://www.adelaide.edu.au/graduatecentre/staff/sanctions-protocol/

NOTE: International Sanctions can be subject to frequent, rapid and significant change by the Australian government.
Accordingly, this Form is also subject to change.

Section A: Applicant / Student Details - Completed by AGC staff

The following applicant is a citizen of a ‘sanctioned-service’ country:

Applicant / Student Name
Citizenship Country
Date of Birth
ORBIT Reg # Student ID #

Current status:
New Applicant
New Applicant (applying to change a previously approved research topic)
Enrolled Student * (applying to change a previously approved research topic)

* Enrolled students may not apply to change topic prior to completion of the CCSP, unless there are extenuating
circumstances, or the original approved project is no longer viable.

Please note that student visa conditions do not allow Iranian citizens to change their program of study, or their thesis or research
topic, unless approval is given by the Department of Home Affairs (DHA) after it has obtained an assessment from the competent
Australian authorities.

Iranian citizens considering to apply to change their program of study, thesis or research topic after applying for a visa must
complete Form 1221 - Additional personal particulars information (PDF 290KB) (available at:
https:www.border.gov.au/FormsAndDocuments/Documents/1221.pdf) and submit it to [email protected].
The subject line must be '8203/8204 Assessment'.

Supervisors will be required to submit the new Research Proposal to the Adelaide Graduate Centre to initiate the completion of a
new HDR Compliance Assessment Form.
Last updated 7 June 2018
Does the applicant/student’s name appear on the DFAT Consolidated List?
http://www.dfat.gov.au/international-relations/security/sanctions/Pages/consolidated-list.aspx
Yes No
The applicant/student holds an Australian Humanitarian Visa
Yes No
The applicant/student holds a scholarship OR receives financial support from an institution/government located in a
‘sanctioned -service’ country
Yes No
If yes please provide details:

Program Information

Discipline / School / Faculty
Name of Principal Supervisor

This is a new applicant who wishes to be considered for:
Admission Only Admission and Scholarship N/A

This is an enrolled student who:
Is a Full Fee Payer Has been awarded a Scholarship Has an external Sponosr N/A
__________________________ ____________________

In the following degree program:
PhD (4 years) Professional Doctorate (4 years) MPhil (2 years) M.ClinSc (2 years)

Title of Proposed Project:
This must be the same as the title confirmed on the Research Proposal provided with the application.

Please confirm any changes to the Title of the Proposed Project:
The Title of the Proposed Project is the same as the title confirmed on the Research Proposal provided with the application.
The Title of the Proposed Project has been refined, involving only an alteration of the wording of the title in order to more
accurately or more clearly reflect the nature of the Proposed Project.
The Title of the Proposed Project has been changed, involving changes to the Research Proposal provided with the application.
A new Research Proposal must be provided to the Adelaide Graduate Centre for completion of this assessment.

Section B: Assessment of the Project and the Research Environment
To be completed by the Proposed Principal Supervisor
ALL APPLICANTS
University Preliminary Questions

B1 Classification of research

As per Australian Bureau of Statistics guidelines
http://www.abs.gov.au/ausstats/[email protected]/0/22e4c184ca111129ca25697e0018fd78?OpenDocument
Pure basic research
Strategic basic research
Applied research
Experimental development
Other: ___________________________________________________________

B2 External Organisations

Does the proposed project involve or require any external organisations (i.e. in terms of funding, intellectual property,
research collaboration, deliverables, etc)?
Yes No

If yes please provide details:
Section C1: Sanctions Legislation Requirements - for Citizens of Iran
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of Iran please refer to: http://dfat.gov.au/international-
relations/security/sanctions/sanctions-regimes/iran/Pages/iran.aspx including the Autonomous Sanctions Regulations 2011.

Please consider the Charter of the United Nations (Sanctions – Iran) Regulation 2016:
https://www.legislation.gov.au/Details/F2016L01181

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Please consider the goods and technologies included on the Charter of the United Nations (Sanctions –Iran) (Export Sanctioned
Goods) List Determination 2016: https://www.legislation.gov.au/Details/F2016L01208 as well as goods set out in INFCIRC/254/Part
1, INFCIRC/254/Part 2 and all goods set out in S/2015/546.

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Does the project involve: the direct or indirect supply, sale or transfer of any of the export sanctioned goods included in
the Autonomous Sanctions (Export and Import Sanctioned Goods – Iran) Amendment Specification 2016:
https://www.comlaw.gov.au/Details/C2016G00283
Yes No

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists: http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods listed in Autonomous Sanctions (Export and Import Sanctioned Goods - Iran) Amendment Specification 2016:
https://www.comlaw.gov.au/Details/C2016G00283?
Yes No

Any goods and technologies listed in the Customs (Prohibited Exports) Regulations 1958:
https://www.comlaw.gov.au/Series/F1996B03403?
Yes No
Section C1: Sanctions Legislation Requirements - for Citizens of Syria
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of Syria please refer to: http://dfat.gov.au/international-
relations/security/sanctions/sanctions-regimes/Pages/syria.aspx including the Autonomous Sanctions Regulations 2011.

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists: http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods listed in Autonomous Sanctions (Export Sanctioned Goods - Syria) Specification 2012:
http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/Documents/Autonomous-Sanctions-(Export-
Sanctioned-Goods-Syria)-Specification-2012.pdf?
Yes No

Any goods of particular concern if destined for end users in Syria including materials, chemicals, micro-organisms and
toxins of a kind designated in the Autonomous Sanctions (Export Sanctioned Goods – Syria) Designation 2012:
https://www.comlaw.gov.au/Series/F2012L01765?
Yes No

Gold, precious metals and/or diamonds?
Yes No

Newly printed or unissued Syrian denominated bank notes or newly minted or unissued Syrian denominated coinage?
Yes No

The selling, Trade or transfer of cultural property items that have been illegally removed from Syria since 15 March 2011
Yes No
Section C1: Sanctions Legislation Requirements - for Citizens of Myanmar
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of Myanmar please refer to: http://dfat.gov.au/international-
relations/security/sanctions/sanctions-regimes/Pages/myanmar.aspx including the Autonomous Sanctions Regulations 2011.

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists: http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods and technologies listed in the Customs (Prohibited Exports) Regulations 1958:
https://www.comlaw.gov.au/Series/F1996B03403?
Yes No
Section C1: Sanctions Legislation Requirements - for Citizens of the Central African Republic
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of the Central African Republic please refer to:
http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/Pages/central-african-republic.aspx

Please consider the goods and technologies included on the Charter of the United Nations (Sanctions – Central African Republic)
Regulations 2014 at http://www.comlaw.gov.au/Series/F2014L00197.

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists: http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods and technologies listed in the Customs (Prohibited Exports) Regulations 1958:
https://www.comlaw.gov.au/Series/F1996B03403?
Yes No
Section C1: Sanctions Legislation Requirements - for Citizens of Crimea and Sevastopol
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of Crimea and Sevastopol please refer to:
http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/Pages/crimea-and-sevastopol.aspx including the
Autonomous Sanctions Regulations 2011.

Does the research project involve or lead to the creation, acquisition or development of infrastructure in transport,
telecommunications, energy or the exploitation of oil or gas or of minerals or other items specified in Autonomous
Sanctions (Russia, Crimea and Sevastopol) Specification 2015: https://www.comlaw.gov.au/Series/F2015L00390
Yes No

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists: http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods and technologies listed in the Customs (Prohibited Exports) Regulations 1958:
https://www.comlaw.gov.au/Series/F1996B03403?
Yes No
Section C1: Sanctions Legislation Requirements - for Citizens of the Democratic Republic of
the Congo
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of the Democratic Republic of the Congo please refer to:
http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/congo/Pages/democratic-republic-of-the-congo.aspx

Please consider the goods and technologies included on the Charter of the United Nations (Sanctions – Democratic Republic of the
Congo) Regulations 2008 at http://www.comlaw.gov.au/Series/F2008L01031.

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists: http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods and technologies listed in the Customs (Prohibited Exports) Regulations 1958:
https://www.comlaw.gov.au/Series/F1996B03403?
Yes No
Section C1: Sanctions Legislation Requirements - for Citizens of DPRK - North Korea
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of Democratic People’s Republic of Korea - North Korea please
refer to: http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/north-korea/Pages/default.aspx including the
Autonomous Sanctions Regulations 2011

Please consider the Charter of the United Nations (Sanctions – Democratic People’s Republic of Korea) Regulations 2008:
https://www.comlaw.gov.au/Series/F2008L00925

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Please consider the Charter of the United Nations (Sanctions – Democratic People’s Republic of Korea) (Documents) Instrument
2017: https://www.legislation.gov.au/Details/F2017L00539

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Please consider the prohibited items as determined by the Security Council or the Committee for subparagraphs (8)(a)(i) and (ii) of
UNSC resolution 1718: https://www.un.org/sc/suborg/en/sanctions/1718/prohibited-items

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists: http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods and technologies listed in the Customs (Prohibited Exports) Regulations 1958 at:
https://www.comlaw.gov.au/Series/F1996B03403?
Yes No
Section C1: Sanctions Legislation Requirements - for Citizens of Eritrea
To be completed by the Proposed Principal Supervisor

For detailed information on the sanctions which apply to citizens of Eritrea please refer to: http://dfat.gov.au/international-
relations/security/sanctions/sanctions-regimes/Pages/eritrea.aspx

Please consider the goods and technologies included on the Charter of the United Nations (Sanctions - Eritrea) Regulations 2010
at https://www.comlaw.gov.au/Details/F2013C00397.

Does the research topic or project or otherwise that the student is undertaking involve, or could it be reasonably expected
to involve, any of the goods or technologies included on that list?
Yes No

Does the project involve: the use; development; or training/technical advice in the use, development or maintenance of
any of the following "arms or related material"?
Yes No

If yes, please tick all that apply:
Weapons, ammunition, military vehicles, equipment and/or technology
Any spare parts or accessories for weapons, ammunition, military vehicles, equipment and/or technology
Paramilitary or law enforcement equipment (eg body armour, anti-riot gear, restraints etc)

Please check if the research topic or project or otherwise that the student is undertaking involves or could it reasonably be
expected to involve, any of the goods and technologies listed on the Defence and Strategic Goods List Amendment 2011
maintained by the Department of Defence: https://www.legislation.gov.au/Details/F2015C00309

The Online DSGL Tool at https://dsgl.defence.gov.au/Pages/Home.aspx enables users to conduct text based searches of the
DSGL and returns search results which match against specific control items. The search results must be completed and a printout
of the results attached to this form. The search results must show that items relevant to the proposed research have been included
in the search and a copy of the results, showing all search terms, must be provided - even if the results confirm that “Nothing here
matches your search”.

The Online DSGL Tool search results have been provided?
Attached

Does the research project involve or provide training in or lead to improvements in the use, extraction, manufacture or
maintenance of any of the following:

Any goods listed on The Australian Group Common Control Lists:
http://www.australiagroup.net/en/controllists.html?
Yes No

Any goods and technologies listed in the Customs (Prohibited Exports) Regulations 1958:
https://www.comlaw.gov.au/Series/F1996B03403?
Yes No