Defence is committed to working with individuals, government organisations, academic institutions and companies to help them meet their export control compliance obligations under Australian law.

Compliance with Australia’s export controls legislation helps ensure that transfers (export, supply, publishing or brokering) involving controlled goods, software or technology occur in ways that:

  • protect Australia’s national security
  • uphold Australia’s  international obligations
  • support Australia’s standing as a responsible member of the non-proliferation community.

Approach

If controlled goods or technology listed on Defence and Strategic Goods List are irresponsibly transferred, Defence uses a risk-based proportionate response model that assesses:

  • the likelihood and seriousness of potential harm for Australia and global non-proliferation objectives
  • if it would prejudice the security, defence or international relations of Australia.

This means the regulatory approach is proactive and emphasises on prevention to avoid unintended breaches. This is done by providing education and tools that emphasise the benefits of compliance and ethical corporate behaviour.

Defence conducts a variety of outreach and compliance activities intended to:

  • raise awareness of Australia's export controls obligations
  • verify activities are conducted in line with approvals
  • identify and address cases of non-compliance.

Principles

Defence Export Controls (DEC) is guided by ten regulatory principles.

  • Accountability: regulated entities, individuals and DEC are accountable and responsible for upholding the transfer of controlled goods, technology and services.
  • Proportionality: DEC acts in proportion to the risk and harm posed by non-compliance. It responds in a way that is appropriate for the context. DEC balances the level of regulatory burden on exporters with the risks associated with their conduct.
  • Evidence-based: decisions are based on evidence, including data analysis, technical and risk assessments and input from partner agencies where required.
  • Outcomes focussed: outcomes and objectives of the Defence exports legislation are at the centre of actions and decision making.
  • Transparency: DEC communicates clearly about processes and decisions with the regulated entities and regulatory and law enforcement partners where possible.
  • Collaborative: DEC collaborates with the regulatory, intelligence and law enforcement partners (domestic and international) to help achieve regulatory outcomes.
  • Timeliness: Decisions and actions are carried out in a timely manner. By implementing established processed and actively assessing risk, Defence understands when to act quickly and when to take more time.
  • Fairness: DEC ensures all regulated entities and individuals are treated fairly and equitably. Defence acts impartially and without bias.
  • Consistency: frameworks and processes are applied consistently to ensure fairness. This also helps promote understanding of regulatory requirements and expectations for the regulated entities and individuals.
  • Efficiency – regulatory activities and processes are designed to be efficient and not impose unnecessary cost and administrative burden on any entity or individual.

Compliance actions

Defence recognises that educational outreach, training and guidance are key to encouraging and assisting the regulated entities and individuals to comply with Australia’s export regulatory requirements. 

DEC aims to promote voluntary compliance by providing educational materials and guidance available at Outreach and training. However, in some circumstances, Defence may initiate more formal corrective measures which may include:

  • targeted educational outreach and tailored advice
  • warning letters
  • new and/or more restrictive conditions on permits (including broker registrations)
  • issuing prohibition notices for activities relating to uncontrolled DSL
  • revocation of permits and broker registrations.

Defence may also refer severe or repeated cases of egregious non-compliance to law enforcement agencies together with recommendations for investigations, inspections or other possible punitive actions.