(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 Defence Trade Controls Committee to guide researchers and their supervisors in remaining compliant with the Defence Trade Controls Act 2012. (3) For the purpose of this framework: (4) This procedure supports the Research Policy and should be read alongside that policy. (5) The Defence Trade Controls Procedure lists all staff required to complete the training specified by the Defence Trade Controls Committee. (6) It is the responsibility of all Heads of School and Centre Directors to monitor personnel within schools 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. (7) Personnel who request information from the Defence Trade Controls Committee will be referred to the following documents, available via the Defence Trade Controls Committee website: (8) Annually in July, the Defence Trade Controls Committee will send a reminder to all heads of school 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 Defence Trade Controls Committee will review completion of the required training module/s each trimester. Training completion reports will be a standing item in the agenda of each Defence Trade Controls Committee meeting and non-compliance discussed. (10) The Research Integrity, Ethics and Compliance Unit will generate a report containing: (11) The Defence Trade Controls Committee will report on the review of training completion in the quarterly compliance committee reports to the Audit and Risk Committee. (12) The Defence Trade Controls Committee (DTCC) 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. (13) The audit of approved projects should be conducted in the first half of each calendar year. (14) Each January, a sample of research proposals approved in the previous calendar year will be provided to the DTCC, as follows: (15) The sample research proposals will be circulated to committee members who will evaluate them against regulatory requirements. Their responses will be collated and added to the agenda of the next DTCC meeting for discussion. (16) Based on the recommendation of the committee, the Defence Trade Controls Committee's presiding officer will notify non-compliant staff of their non-compliance and advise corrective actions. (17) Incidences of staff non-compliance will be reported to staff line managers, the Deputy Vice-Chancellor (Research) and the Audit and Risk Committee as appropriate. (18) The Defence Trade Controls Committee (DTCC) will undertake benchmarking against university sector practices as required. (19) The DTCC will review the documents provided by peer institutions and based on best practice and insights from other institutional processes, provide recommendations for updates to University policies and procedures to the Deputy Vice-Chancellor (Research). If no updates are recommended, the DTCC will provide a null report to the Deputy Vice-Chancellor (Research). (20) Based on the recommendation of the committee, the Defence Trade Controls Committee's presiding officer will notify non-compliant staff and their line managers to inform them of the non-compliance and advise corrective actions. (21) 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. (22) The Defence Trade Controls Committee's presiding officer will provide a recommendation that the Deputy Vice-Chancellor (Research) inform the relevant Commonwealth authorities of the non-compliance, as follows: (23) If the Defence Trade Controls Committee 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. (24) Nil.Defence Trade Controls Audit Procedure
Section 1 - Purpose
Section 2 - Glossary
Top of PageSection 3 - Policy
Section 4 - Procedures
Part A - Review of training completion
Requirement to complete training
Review procedure
Part B - Audit of research projects
Part C - Benchmarking
Part D - Non-compliance
Notification of non-compliance
Section 5 - Guidelines
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