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Module Four - DEC Processes and Procedures

This module will cover:

  • Registering as a client
  • In Principle Assessment
  • Application and Assessment Process
  • What permits can be issued for
  • Australian General Export Licences (AUSGELs)
  • Denials and Procedural Fairness & Conditions
  • Reporting and Record Keeping

Registering as a client

You need to register as a DEC client if you intend to:

  • export goods or supply technology that is listed in the Defence and Strategic Goods List;
  • export goods, or supply technology or services, which may be used in a Weapons of Mass Destruction program;
  • become an Australian Community member for the purposes of the Defence Trade Cooperation Treaty;
  • become an Intermediate Consignee for the purposes of the Defence Trade Cooperation Treaty;
  • transition an article into the Defence Trade Cooperation Treaty;
  • apply for an International Import Certificate, Delivery Verification Certificate or Non-Transfer and End-Use Certificate;
  • register as a Broker, or
  • conduct a brokering arrangement.

Once you are successfully registered with the Defence Export Controls System (DECS), you will be issued with a DECS client registration number (DCRN). Using the appropriate DCRN you may apply to DEC for:

  • an Export Control Assessment (to formally establish whether goods or technology are controlled by the DSGL),
  • an In-Principle Assessment,
  • permission to export, supply, broker, or
  • approval to publish.

For more information, please view the Register as a DEC client page on the DEC website

In Principle Assessment

Applicants may seek an in-principle assessment by submitting a completed Application to Export Controlled Goods and Technology form.

The in-principle assessment is a preliminary advice which indicates the likely outcome of a future application to export to a specific destination or end user.

In-Principle Assessments:

  • do not provide permission to export
  • are issued based on information provided by you
  • are an assessment of factors at a particular time, including international security considerations
  • are not a guarantee of future permission to export controlled goods, services or technology.

Application and Assessment Process

If your goods, services or technology is listed as controlled in the Defence and Strategic Goods List (DSGL), an Application to Export Controlled Goods and Technology form will need to be completed to apply for permission to export or supply.

For approval to publish Part 1 DSGL technology, the appropriate person in your institution will need to apply to DEC for approval.

If you are unsure about the control status of your commodity you may request an assessment of your goods or services by submitting a completed Application to Export Controlled Goods and Technology form.

For any exports of non-controlled goods, services or technologies, where there is a suspicion that the commodities may be used for a weapons of mass destruction (WMD) program, advice should be sought from DEC by submitting an Application to Export Controlled Goods and Technology form.

If your goods are not controlled you will receive a Outcome of Export Control Assessment letter to attach to your export documentation.

All applications for export are assessed with consideration to the DSGL, Customs Amendment (Military End-Use) Act, sanctions legislation, and the WMD Act.

When assessing the risk of exporting an item, DEC will take into account criteria located on the Export Control Policy page on the DEC website.

Processing times, other than in exceptional circumstances, for routine applications is up to 15 working days from the date a complete application, with all supporting documentation, is received.

Applications which may be deemed as sensitive and referred for complex case review, may take up to 35 working days, and sometimes longer. In some cases for certain chemicals, applications may take up to 37 working days.

To assist DEC in assessing your application as quickly as possible, please ensure that you:

  • use a current Application to Export Controlled Goods and Technology form
  • complete all sections of your application
  • provide a valid DECS Client Registration Number (DCRN)
  • include consignee's full name and street address
  • attach all relevant supporting documentation (refer to Assessment Times on DEC website)
  • use Bulk upload files when application has more than 10 lines of goods
  • submit application as early as possible to avoid delays for your expected date of exportation

If the application is approved, the permission will be emailed to the applicant on the form.

Where exporters have approvals conditions, exporters must comply with these and submit compliance reports as indicated.

If required, complete an Australian Customs Export Declaration Notice (B957) which can be obtained on the Department of Immigration and Border Protection website.

You will need your DEC permission number to complete the Export Declaration Notice.

What permits can be issued for

Permits may be granted:

  • to cover permanent or temporary export of listed items;
  • for single or multiple shipments over the life of the permit;
  • for a specified quantity of items to specified consignees and end-users and destinations;
  • for a specified quantity of items to specified consignees and destinations;
  • non-specified quantity of items to a specified consignees and end-users and destinations;
  • non-specified quantity of items to specified consignees and specified destinations;
  • non-specified quantity of items to specific destinations.

Australian General Export Licences (AUSGELs)

Australian General Export Licences (AUSGELs) are broad licences for a pre-approved list of goods, destinations and export purposes that can be used to export or supply goods, software and/or technology.

An AUSGEL will be valid for five years, but in some circumstances a longer validity period may be approved.

Before submitting an application for an AUSGEL, please review the Application for an Australian General Export Licence page on this website, to review the current AUSGEL types.

Denials and Procedural Fairness & Conditions

If there are concerns about an application, DEC will notify the applicant and allow them to respond and present arguments in a written submission before advice is prepared for the Minister for Defence.

Only the Minister for Defence can refuse or prohibit a case.

Before DEC reaches a preliminary finding and recommends to the Minister that an application should be denied or prohibited, DEC will provide the applicant with an opportunity to discuss the case and make any further submissions.

If the Minister denies or prohibits an application, the applicant is provided with a written decision setting out the reasons for the decision and any review rights. To view the review mechanisms that may be available to you, please view the Right to Review page on this website.

Reporting and Record Keeping

Reporting conditions may be applied to export approvals. A reporting condition will specify:

  • the approved form on which the reports are to be submitted,
  • the information that must be reported,
  • the dates by which the reports are to be submitted, and
  • where to submit the completed report forms.

Reports must be lodged with DEC using an approved reporting form. The reporting periods are prescribed within the reporting condition.

DEC has several reporting templates to assist exporters, which are available from the Reporting page on this website.

For export approvals issued under the Defence Trade Controls Act 2012, you must keep records of intangible supplies or brokering arrangements made under your permits.

Any records you make should include the following information:

  • a description of the goods or DSGL technology you supplied or brokered under the permit
  • the permit number
  • details of the person receiving the goods or DSGL technology
  • details of the person arranging the supply (i.e. brokering)
  • the date or period of dates over which the goods or DSGL technology will be provided.

There are different record keeping requirements for supply or brokering activities. You should check your approval document for specific details.

Records must be retained for 5 years as outlined in section 24 of the Defence Trade Controls Regulation 2013. Failure to retain or produce records carries an offence under the Defence Trade Controls Act 2012.

The Secretary of the Department of Defence can request to review copies of your records.