(1) This audit framework is structured to include multiple checkpoints for ensuring compliance of research activities with the Defence Trade Controls Act 2012. (2) This audit framework has been developed in line with the policies and procedures established by the National Security Compliance Committee to guide researchers and their supervisors in remaining compliant with the Defence Trade Controls Act 2012. (3) This procedure supports the Research Policy and should be read alongside that policy. (4) The Defence Trade Controls Procedure lists all staff required to complete the training specified by the National Security Compliance Committee (NSCC). (5) It is the responsibility of all Heads of School, Research Institute Executive Directors and Centre Directors to monitor personnel within schools, institutes and centres who may be at risk of conducting activities that fall under the scope of the Act and direct them to complete the required training. (6) It is the responsibility of the members of the NSCC to monitor personnel within their areas to identify any activities that fall under the scope of the Act and direct them to complete the required training. (7) Personnel who request information from the NSCC will be referred to the following documents, available via the Defence Trade Controls Committee website: (8) Annually, the NSCC will send a reminder to all heads of school, institute and centre directors of their responsibilities in ensuring compliance of all researchers under their purview with the Act and include a link to the Defence Trade Controls Procedure. (9) The NSCC will review completion of the required training module/s. Training completion reports will be a standing item in the agenda of each NSCC meeting and non-compliance discussed. (10) The Research Integrity Unit (RIU) will generate a report containing: (11) The NSCC will report on the review of training completion in the quarterly compliance committee reports to the Audit and Risk Committee. (12) The Research Integrity Unit will conduct an annual audit of approved research projects to ensure that research projects that fall under the scope of the Act have not been undertaken without a permit, for consideration by the National Security Compliance Committee (NSCC). (13) The audit of approved projects should be conducted in the first half of each calendar year. (14) A sample of research proposals approved in the previous calendar year will be provided to the NSCC members, as follows: (15) The sample research proposals will be circulated to committee members who will evaluate them against regulatory requirements specifically noting if review was required, and if so, was the review obtained. (16) The RIU will report the results of the audit to the NSCC and the Audit and Risk Committee. (17) Failure to obtain the required approvals to conduct research or teaching are likely to require assessment under the Research Misconduct Procedure. (18) The National Security Compliance Committee (NSCC) chair will notify non-compliant staff and their line managers to inform them of the non-compliance and advise corrective actions. (19) Incidences of non-compliance and corrective actions will be reported to staff line managers, the Deputy Vice-Chancellor (Research) and the Audit and Risk Committee as appropriate. (20) Non-compliance may also require assessment under the Research Misconduct Procedure. (21) The NSCC's chair will provide a recommendation that the Deputy Vice-Chancellor (Research) inform the relevant Commonwealth authorities of the non-compliance, as follows: (22) If the NSCC chair is unable to make a clear determination of whether a breach of export control regulations has occurred, the Deputy Vice-Chancellor (Research) will be notified of the situation and Defence Export Controls will be contacted for advice and guidance. (23) Nil. (24) For the purpose of this framework:Defence Trade Controls Audit Procedure
Section 1 - Purpose
Top of PageSection 2 - Policy
Section 3 - Procedures
Part A - Review of training completion
Requirement to complete training
Review procedure
Part B - Audit of research projects
Part C - Non-compliance
Notification of non-compliance
Section 4 - Guidelines
Section 5 - Glossary
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