The Compliance team provides support and advice to ANU researchers in matters relating to Defence Export Controls, Foreign Interference, Foreign Arrangements and Research Integrity.
The Research Compliance team is registered with the Department of Defence to apply for all Defence Export Control permits on behalf of the University. Defence Export Controls (DEC) regulates the export and supply of military and dual-use goods and technologies.
Information on government requirements can be found at the Defence Export Controls site (external). For further information on how to apply for DEC permits, please contact the Research Compliance team at firstname.lastname@example.org
The Research Compliance team assists the ANU Foreign Interference Advisory Committee in the management of foreign interference risks to the University. The team’s role is to provide secretariat work to the committee in undertaking its daily operational work which includes assessing, monitoring, advising and providing assurance to the University community on the management of foreign interference risks. The Committee makes determinations on foreign collaborations and, where appropriate, makes recommendations to the Vice Chancellor. The Committee reports regularly to the University Research Committee on its operations and activities.
The assessment review process by the Committee is aimed at balancing the promotion of an open research culture, academic freedom and risks of foreign interference towards HDR students, staff and research at ANU.
The process is based on the Guidelines to Counter Foreign Interference in the Australian University Sector, to which ANU has committed to implement.
Any collaborations with one or more foreign entities should be submitted to the Foreign Interference Advisory Committee (FIAC) whether formal (e.g. legally binding research contracts, receiving awards or fund, staff/student exchange, honorary appointments etc.) or informal (such as an undertaking to supervise a student, or apply for a grant as partners). Submission is made through e form: Foreign Engagement Assessment Form.
For further information on ANU foreign interference matters, please contact the Research Compliance team at email@example.com.
The Foreign Arrangement Scheme commenced on 10 December 2020. Universities are required to notify the Department of Foreign Affairs and Trade, when they enter an arrangement with a foreign government, a department of agency of a foreign government, or a foreign university that lacks institutional autonomy. A foreign university is considered not to have institutional autonomy when it is substantially under the control of a foreign government. Further information and FAQs can be found on here.
An arrangement does not have to be a contract - it can be formal or informal. While arrangements for minor administrative or logistical matters are exempt under the Scheme, the following arrangements are not exempt:
collaboration by two universities on research output
organising cultural activities
establishing student exchange and mobility programs
establishing scholarship programs
collaboration on a workshop, presentation or conference session
The Compliance team will assess whether an arrangement is notifiable under the Scheme as part of the Foreign Engagement Assessment Form submission process. The Scheme requires documentary evidence of the arrangement (such as an email, a MoU, or a contract), so it is important to upload this information when submitting the Foreign Engagement Assessment Form. Once the Compliance team has all the necessary information, they will submit a brief notification to the Department of Foreign Affairs and Trade.
The ANU seeks to foster and maintain a research environment of intellectual strength, safeguarding academic freedom and acting with honesty, integrity, and scholarly and scientific rigour. In support of this goal, the University's Responsible Conduct of Research policy details the expectation that all ANU staff and visiting/honorary appointees adhere to the Australian Code for the Responsible Conduct of Research, 2018 (the Code).
The Compliance team reviews and investigates complaints of breaches of the Code, and supports the ANU Designated Person for Research Integrity, Professor Ann Evans. Further information about the ANU Research Integrity complaints and review process can be found on the Responsible Research Practice page.
Staff and students who wish a confidential discussion about possible research integrity matters should seek the advice of a Research Integrity Advisor in the first instance.