Strategic and Governance Services

All University activities (research and other University agreements, collaborations, and other engagements) with foreign individuals and entities are subject to international compliance obligations. Prior to any school, centre or any other area of the University entering into an agreement or other arrangement with a foreign individual or entity staff are required to complete an International Compliance Review - Foreign Arrangements (ICR-FA) form and submit the completed form to Legal and Integrity for review.

International Suppliers - For international suppliers, relevant staff involved in the procurement activity or requesting the supplier setup must complete the Preliminary International Compliance Review - International Suppliers form and provide this form with any other identified documentation to Legal and Integrity at integrity@ecu.edu.au for review.  The form must be completed at section D by Legal and Integrity before the new supplier form is submitted and must be attached as evidence that the ICR review process has been completed.

Onshore Higher Degree by Research Students

Research staff need to be aware that the research proposals of higher degree by research (HDR) students from sanctioned countries need to be assessed to ensure that their intended HDR topics do not contravene the UNSC or Australian Autonomous sanctions. To assist in this process the University has developed a form, the International Compliance Review - Higher Degree by Research (ICR-HDR) form which outlines the possible sanctions applicable to students from sanctioned countries. It is recommended that Supervisors review this material prior to agreeing on a particular research topic with the student.

Supervisors need to ensure that they complete the International Compliance Review - Higher Degree by Research form for all HDR applicants from sanctioned countries.  The Form shall be signed by the relevant Associate Dean (Research), endorsed by the relevant Executive Dean and then be sent to the Senior Deputy Vice-Chancellor for approval.

Offshore Higher Degree by Research Students

The same sanctions that apply to onshore HDR students apply to offshore HDR students from sanctioned countries. Supervisors need to ensure that the International Compliance Review - Higher Degree by Research form is completed for all HDR applicants from sanctioned countries and approved by the relevant approvers.

Staff presenting at international conferences need to be aware that the same sanctions that apply in Australia will apply to them at any international destination. In presenting staff may not provide technical advice, assistance or training to a person from a sanctioned country on any of the sanctioned themes and may not deal with any person or entity.

Staff need to consider whether their intended presentation would breach any of the UNSC or Australian Autonomous sanctions. If their presentation could be in breach of any of the sanctions they will have to make reasonable enquiries with the organisers of the conference about who will be attending and then decide whether they should proceed with the presentation. These steps should be documented in an official ECU records file for audit purposes.

In relation to defence trade controls staff need to consider the following:

• The supply of presentations containing Defence and Strategic Goods List technology to conference organisers located overseas may require a permit (for example by email).
• Taking out presentations from Australia to an overseas location containing Defence and Strategic Goods List technology in a tangible form, for example printed hard copies or stored on a laptop, may require an export permit.

Staff travelling to sanctioned countries need to be aware of the sanctions that apply to that country and need to take the sanctions into consideration when planning their travel program. Staff should contact the Manager, Legal and Integrity prior to their travel to a sanctioned country if they have any queries.

The University will review all proposed employments of individuals from sanctioned countries. This will include full time, part time, sessional, adjunct and any other appointments to positions at ECU. The International Compliance Review – Staff Employments (ICE-SE) form is to be used to review all employment applications received from individuals from sanctioned countries.

The Department of Foreign Affairs and Trade (DFAT) maintains a list of all persons and entities listed under Australian sanctions law. Those listed may be Australian citizens, foreign nationals, or residents in Australia or overseas. The list is referred to as the “Consolidated List”. The University is responsible for undertaking the due diligence checks necessary to understand whether any of the persons or entities connected with a proposed University activity are listed.

The University has developed the Consolidated List Review Form (CLRF) to assist staff in reviewing the Consolidated List.  Staff must complete the “Reviewed Entity” tab of the CLRF with the names of relevant individuals and entities and then refer to the “Possible Name Matches” column of the “Consolidated List” tab to identify whether any individuals or entities the University is proposing to engage with may be included on the Consolidated List. Detailed instructions about how to complete the CLRF are included at the “Guidance Notes” tab of the CLRF.

The relevant ICR document and completed CLRF must be provided to Legal and Integrity when submitting a proposed activity for compliance review.

Foreign interference involves covertly shaping decision-making to the advantage of a foreign power. Interference is activity done in secret by, or on behalf of, a foreign actor that is deceptive, corrupting or threatening in nature and contrary to Australia’s sovereignty and interests.

Examples include:

• efforts to alter or direct the research agenda;
• economic/financial pressure;
• solicitation and recruitment of post-doctoral researchers and academic staff; and
• cyber intrusions.

To mitigate the risks of foreign interference staff must disclose the following personal interests to the University:

• receipt of any financial support (cash or in-kind) for education or research related activities from a country other than Australia;
• positions held (paid or unpaid) or honorific titles in any foreign university, academic organisation or company;
• any obligations to a foreign university, academic organisation or company (e.g. membership of a talent recruitment program); and
• associations or affiliations with a foreign government or foreign military, policing or intelligence organisation.

The Conflicts of Interest policy and Consultancy and Secondary Employment policy outline the processes for disclosing these matters to the University.