Defence takes alleged breaches of Australia’s export control laws seriously. Suspected breaches of Australia’s export control laws by an individual or an organisation must be reported to Defence Export Controls.
Defence Export Controls (DEC) assess all allegations of non-compliance to determine the level of action required. If a breach is reported, Defence will hold the details in strict confidence.
Defence works with individuals and companies to identify the causes of non-compliance and assists by informing on best practices and risk-mitigation measures to prevent recurrences.
Breaches can include:
- failing to obtain a permit prior to export
- not complying with the requirements of a permit or permit condition
- failure to maintain accurate records
- export of uncontrolled goods that are for military end-use or may be used in a Weapons of Mass Destruction Program
Voluntary disclosure
Suspected non-compliance of military and / or dual-use goods and technology exports, listed on Defence and Strategic Goods List, must be disclosed by submitting a Voluntary Disclosure Report via the My Australian Defence Exports Portal (MADE Portal). Non-compliance can be in relation to the export, supply, publishing or brokering of controlled goods, technology or services.
Please note a voluntary disclosure can be submitted to inform Defence Export Controls about a potential or suspected breach of non-compliance with Australia's export control laws.
Defence will assess any submission of a voluntary disclosure on a case-by-case basis. Following factors are considered in responding to the disclosure:
- extent and nature of the non-compliance including consideration of the risk of harm and seriousness of the contravention (sensitive goods or technology)
- whether the entity or individual came forward with a timely, accurate and comprehensive disclosure
- the apparent intent of the entity or the individual (inadvertent or due to a lack of understanding, negligent, reckless or deliberate)
- risks to Australia’s national interest and international obligations arising from the non-compliance
- whether the non-compliance was an isolated event or a recurring issue
- any export and compliance history, including commitment to internal compliance procedures of an appropriate standard (risk mitigation measures put in place to address non-compliance).
Internal compliance monitoring
Internal compliance monitoring is encouraged by DEC to enable organisations to identify gaps, weaknesses or potential risks in their export control procedures, allowing corrective actions to be taken proactively, before any potential non-compliance occurs.
A compliance self-audit allows exporters to monitor the rate of compliance under Australia’s export control laws. To assess their level of compliance, regulated entities can voluntarily conduct a self-audit by using the voluntary Self-Assessment Checklist which can be downloaded via the MADE Portal. It includes questions covering the types of permits, terms and conditions and record-keeping practices related to maintaining compliance specific to your permit.
The checklist assists organisations with assessing whether their internal compliance processes are thorough and aligned with best practice. Should an issue arise such as a suspected, potential or actual breach of Australia’s export control laws from the results of a self-assessment, organisations should notify DEC as soon as possible by submitting a Voluntary Disclosure Report as indicated above.
Resources
Voluntary disclosures factsheet (PDF, 158.13 KB)
How to submit a compliance report factsheet (PDF, 2.38 MB)