Foreign Engagement Compliance Review (FECR) Registration Form

Foreign Engagement Compliance Review (FECR) Registration Form

This form relates to proposed new or renewing foreign engagements of the University of Adelaide. This includes activity arranged on behalf of a University individual through a University of Adelaide contracting entity (ICS, L&R, School/Faculty/Division).

Personal declarations (for individual arrangements made personally, not through a University contracting entity) are to be made at:

Declaration of Interest (DoI) Form

The Foreign Engagement Compliance Review has now been formalised in a framework that is documented here.

The University of Adelaide must be pro-active in safeguarding its autonomy and reputation in a global context. In recent years, the Australian Government has recommended that the Australian higher education sector apply additional vigilance to all international engagements and all research involving critical technologies, citing an unprecedented scale of foreign interference they believe is intended to harm Australia’s national interests. This vigilance should be applied to all University-related activities where the activities involve critical technologies and/or engagements with foreign entities.

Types of activity

To meet Government’s recommendation, and other national and international compliance obligations, the University has established a foreign entity compliance review process for:

ANY proposed agreement, variation or renewal of an existing agreement between the University of Adelaide and a foreign entity (including MoUs).
ANY proposed multi-party agreement including a foreign entity involving the University of Adelaide in either a lead or non-lead role.
ANY proposal to invite an overseas based individual/entity to visit the University (refer Note 1 for exceptions).
ANY proposed individual staff appointment (including Honorary ones) with any foreign entity (refer Note 2 for exceptions).
ANY proposed individual staff "practice of a discipline" (personal consultancy) engagement with any foreign entity (refer Note 2 for exceptions).
ANY activities offshore with foreign entities that have been brokered by Australian companies.

Information required

In completing the form, you will be asked to provide details of the foreign engagement activity and respond to a series of questions about relevant legislative requirements. Compliance with these laws may require additional action by you and/or the University (refer Note 3 for details of compliance requirements). There are resources and assistance available to help you navigate these legal obligations.

Compliance with legal obligations is non-negotiable and significant penalties may apply to you personally, as well as the University, if they are overlooked or ignored. The proposed activity can only be endorsed if identified risks and all legal obligations can be properly managed.

The compliance assessment process

Depending on the nature of the foreign engagement activity you describe, the information you provide may be forwarded on to other people as a part of an activity endorsement process and also to your area head or supervisor. The reason for this is to ensure that any identified risks, including actual or perceived conflicts of interest, are properly managed.

You will be notified via an automated email of the outcome of the compliance assessment process.

A proposed new foreign engagement may not proceed until such time as an automated endorsement email has been received. If an engagement is declined it may not proceed.

Additional information sources

University of Adelaide Integrity and Accountability webpage
University of Adelaide Foreign Compliance webpage
Seek advice from the University's Defence and National Security Officer by emailing dso@adelaide.edu.au.

Note 1: Visit exceptions NOT requiring registration using this form

Completion of a compliance assessment form is NOT required where the proposed visit to the University is:

An official international delegation (e.g. one managed by External Engagement or The Chancellory).
An informal or "drop-by" visit by foreign individuals already in Australia or coming to Australia only to attend a conference.
Not facilitated by the University, such as by arranging travel visas and travel, or providing access to resources (such as unsupervised access to buildings and/or IT services).

Note 2: Co-supervision of students at a foreign institution

Co-supervision of a student at a foreign institution is exempt from FECR unless the activity crosses into the following areas of concern:

International Sanctions (use this form to describe how sanctions are involved).
Defence dual use technology / sensitive technology (use this form to determine the need for Defence Export Permits, etc.).
You receive benefits that exceed $500 that are not administered through UoA processes. In this last instance the activity should be registered using the Declaration of Interest (Personal) form.

Note 3: Exceptions for foreign engagements contracted by other Australian entities

Engagement with foreign entities that are contracted through OTHER Australian entities (e.g. another university) do not need to be FECR endorsed as long as the University of Adelaide is not named or required to execute a formal agreement with or naming the foreign entities or expending resources to support the activity with the foreign entities:

A grant with foreign PI/CIs submitted by another Australian university is FECR-exempt as long as the University of Adelaide participation agreement is only with the other Australian university.
A visit to the University of Adelaide by a foreign PI/CI on a grant obtained by another Australian university DOES require FECR endorsement (request to host a foreign visitor).

Note 4: Compliance obligations to consider

The remaining text prior to the form itself describes some of the Australian and International statutes to which we must adhere.

Foreign Arrangements Scheme (FAS)

The Foreign Arrangements Scheme establishes a formal notification process that applies to all Australian public universities. The Scheme is established by the Australia’s Foreign Relations (State and Territory Arrangements) Act 2020 (Cth) (the Act). Public universities are included in the definition of “State/Territory entities” along with all Australian State, Territory and local governments. Under FAS all arrangements with certain "Foreign Entities" need to be registered with the Foreign Minister. A useful UoA-internal Foreign Arrangements Scheme information website is provided by Legal & Risk.

Foreign Influence Transparency Scheme (FITS)

The Foreign Influence Transparency Scheme applies to anyone acting on behalf of a foreign government, political party or its agents where that activity is for the primary purpose of influencing Australian political or government outcomes. A person who makes an arrangement with such a foreign entity for purpose of influencing government activity in Australia must register the relationship and the nature of the activity with the Commonwealth Attorney General’s Department. See:

A useful UoA-internal Foreign Interference Transparency Scheme information website is provided by Legal & Risk.

International Sanctions

Sanctions are a form of economic or diplomatic restriction used by governments to signal and potentially curb objectionable actions of other nation states, entities or people, such as abuse of human rights or organised terrorism. You should make sure that your activity does not involve a sanctioned person or entity. Department of Foreign Affairs and Trade maintains a Consolidated List of persons and entities subject to targeted financial or other sanctions or travel bans. In some circumstances, a permit may be issued to allow an activity to proceed despite the Sanctions.

Defence Trade Controls (DTC)

The Defence Trade Controls Act 2012 (DTC Act) controls the tangible and intangible supply of technologies on the Defence and Strategic Goods List (DSGL). The export from Australia of listed goods and technologies is strictly controlled and a permit is required. Export can include the transmission overseas of controlled information such as design plans or software. You must have a permit if you intend to transmit controlled technology to a foreign entity or person or publish information about certain military technologies.

*** Government has decommissioned the online DSGL search tool. You will be asked to search a PDF version of the list instead ***

* CLICKING ON LINKS MAY LOSE YOUR DATA *

Normal clicking on a link will navigate away from the form. To ensure that you do not lose any data you have entered into the form, please ensure that you open any link references in a new tab or window (e.g. by right-clicking or middle-clicking on the link).

Please select the purpose for which you are using this form. The options recently have changed.*

Guidelines:

A "procurement" is the purchasing of a good or service for a fee (e.g. lab equipment, or a piece of software).
A "foreign visitor" is a person that is not a citizen or permanent resident of Australia that is visiting the University of Adelaide: see Note 1 above for instances that are exempt from registration.
UoA has compliance obligations when hiring foreign citizens whther or not a visa is required - there are now "form purpose" option for this.
An "appointment" refers to secondary employment, and/or honorary affiliate or adjunct roles at other academic institutions.
A "practice of a discipline" activity is a consultancy or discipline-specific activity for which you personally receive a financial benefit.
A "philanthropic gift/grant" is an agreement to receive a benefit that does not place any formal obligations on the recipient.
A "workplace based learning" activity refers to student placements arranged by UoA.
All other activity (except student placements which are given their own "purpose") can be considered to be an "engagement", for example any of (not an exhaustive list):

Research grant
Contract research
Memorandum of Understanding (MoU)
Material Transfer Arrangement (MTA)
Non-personal consultancy (i.e. one where the benefit is retained by the school/faculty)
Academic activity in an area of concern and/or one attracting personal benefit exceeding the Conflict of Interest threshold of $500 (co-supervison, thesis reviews, etc.): see Note 2 above.

For cases other than 1-7 above, when making your selection, please indicate if this is a new engagement, a renewal or variation (with or without prior FECR-endorsement).

A renewal or variation option can be chosen if and only if there exists a fully executed formal agreement for the engagement, and that agreement is being renewed or varied. These options cannot be used if the engagement is a resubmission of a previously unsuccessful grant application - in such cases please submit the grant application as a new engagement.

You can view your prior FECR submissions (e.g. to copy some prior content) here (you will need a SmartSheet account with your UoA email address as username - that can be obtained here).

Please contact dso@adelaide.edu.au if you require further clarification.

Select

Simplified FECR for renewals or variations to prior FECR-endorsed foreign engagements

By making the selection you did in answer to the previous question, a simplified process becomes available to you. That process relies on the fact that the prior foreign engagement has previously been entered into the FECR system and has been FECR-endorsed. To proceed with the simplified process please ensure you do each of the following:

Provide the FECR ID of that prior engagement. Contact dso@adelaide.edu.au if you are sure that FECR-endorsement was obtained but you cannot find the FECR ID;
Provide the proposed start and end dates for the next phase of the engagement;
Explain in the “Other Comments” field the difference between the renewal/variation and the prior engagement. It could be as simple as date changes or value changes.

Please enter the FECR ID of the previously FECR-endorsed foreign engagement.*

Simplified FECR: this activity does not qualify for the simplified process

You have not entered a valid FECR ID. Please modify your selection to the "form purpose" question to indicate that you are seeking a renewal or variation to a foreign engagement that has not been previously FECR-endorsed. Contact dso@adelaide.edu.au if you are sure that FECR-endorsement was obtained but you cannot find the FECR ID.

Are you doing this on behalf of another person (whom will be responsible for the foreign engagement, for example as the lead researcher)?*

Yes

SUBMITTING PERSON'S DETAILS

Submitting Person's University of Adelaide ID*

Please enter the 7 numeric digits of your UoA ID (leave out the "a"). This field cannot contain any non-numeric characters.

Enter "0000000" if you do not have a UoA ID number.

Submitting Person's Name*

If you do not have a UoA ID or if you are a student, please also provide your email address in this field:

Suggested format is "Firstname Lastname <firstname.lastname@email.domain>".

University of Adelaide Authorising Entity*

** If the activity is Defence-related, please select one of the two Defence options.

Which University of Adelaide entity has the authority to enter into a formal arrangement for this activity? Note that MoUs, MTAs, Grants, contract research, consultancies and any exchange in writing that places obligations on the participating parties (including the University of Adelaide) is considered to be a formal arrangement in this circumstance. International travel that is being paid for by a foreign entity requires endorsement at the school/department level (benefits received exceed a $500 Conflict of Interest threshold), so select "Other - Department, School or Business Unit level" if the only activity in the engagement is subsidised international travel.

Select

Which ICS Commercialisation Manager are you working with?*

If you are unsure, then select "ICS Commercialisation (commercialisation@adelaide.edu.au)".

Select

Which funding agency and scheme is this activity with?*

If this activity involves applying for a gift, grant or any sort of funding, please describe the funding agency and (if applicable) the scheme.

For example, "ARC Discovery Grant".

Enter "N/A" if no application for funds is required.

Authorising Entity Reference

Has the University of Adelaide Authorising Entity provided you with a reference number for this activity? If so, please enter it here.

Arrangement Status*

Please indicate (to the best of your knowledge) at what stage the arrangement documentation (for this activity) has reached.

Select

RESPONSIBLE STAFF MEMBER, ADJUNCT OR AFFILIATE DETAILS

The automated workflows of this system will not work without a valid UoA staff/adjunct/affiliate (not student) ID entered in this section.

The Responsible Staff Member would normally be an academic member of staff.

If the academic that is responsible for this activity is not currently a UoA staff member, adjunct or affiliate (e.g. you/they do not have a UoA employment/adjunct/afffiliate contract, you/they are a student, or are applying for a grant which if successful will bring you/them to UoA as an employee) then:

This section needs to contain the details of your/their current or intended UoA supervisor. The UoA employee ID of that supervisor MUST be entered - you may ask them to provide you with this information.
You should answer "Yes" to the question (above) "Are you doing this on behalf of another person".
You should enter your own details in the "Submitting Person" section. Please provide BOTH your name and email address in the "Submitting Person's Name" field.

Otherwise, if you are registering your own foreign engagement activity then enter your own details (e.g. if you are the lead researcher).

Otherwise, if submitting on behalf of someone else (e.g. if you are a member of professional staff submitting an activity on behalf of the lead researcher), please enter their details in this section. Select "Yes" above in answer to the "Are you doing this on behalf of another person?", and enter your own details as the "Submitting Person". If in doubt contact dso@adelaide.edu.au.

Responsible Person's University of Adelaide ID (student IDs are not acceptable)*

Please enter the 7 numeric digits of the UoA ID (leave out the "a"). This field must contain a valid staff/adjunct/affiliate (not student) ID number, and cannot contain any non-numeric characters.

Responsible Person's Name (must be a staff member, adjunct or affiliate)*

If this person is responsible by reason of being a supervisor of a student or of a non-employee, the suggested format to use here is:

"supervisor name", responsible as supervisor of "student or non-employee name"

Head of School or Line Manager Name*

Please provide the name of the Head of School of the Responsible Staff Member (not of the Submitter if you are doing this on behalf of the Repsonsible Staff Member). If they do not have one please provide the name of their Immediate Line Manager.

PROPOSED VISITOR, NEW HIRE or VISA RECIPIENT'S DETAILS

This section of the form (up until the next solid line) only applies if the form purpose is to "Host a foreign visitor" or "Sponsorship for a visa (not related to a foreign visitor)" or "Hire a foreign citizen". For all other purposes there will be no visible form fields within this section.

Name*

Full name as it appears in their passport.

Type of Visitor, New Hire or Visa Recipient*

For ALL visitor types except "UG Student", in lieu of collecting information that may compromise privacy laws, please provide at least one of the following in relation to the foreign visitor (attach a file below in the Staff Member Declaration Section, or enter a URL in the Other Comments Section): 1) An up to date CV 2) LinkedIn profile page URL 3) Google Scholar profile page URL 4) Personal profile page URL from their home institution

Select or enter value

Email Address*

Citizenship Status (include permanent residencies)*

List all citizenships held and countries within which they have permanent residency.

Select

Does the university need to sponsor a visa for this person?*

Yes

Unsure

Is a UoA ID Card required for this visitor?*

Yes

Is UoA IT Access required?*

Yes

DETAILS OF ACTIVITY

This section (and the remainder of the form) is to be filled out for all form purposes.

If the activity is to host a foreign visitor, the "Entity" refers to the foreign visitor's non-Australian employer.

If the activity is to hire a foreign citizen, please provide a brief description of the job role.

What is the proposed engagement or activity, and in what technical field?*

Please briefly describe in plain language terms the technical subject matter of the activity to enable someone not proficient in the field to undertake a compliance review, including but not limited to a search against the Defence Strategic Goods List (DSGL). You may attach a file below (in the Staff Member Declaration Section) if you wish to provide additional information, but you are requested to provide an answer in this text field with sufficient technical detail of the activity to enable a review without the need to reference any extra attachments. For Honorary Appointments please provide a description of the research area in which the appointment is being made. For research proposals or grant submissions, you should (as a minimum) copy and paste the abstract.

Your FECR submission will be rejected (not reviewed) if you do not provide adequate detail of the technical field relating to this activity.

* Potentially insufficient information provided *

The system has detected that you included the text "attach" in the response field above. This warning message is to let you know that your submission will NOT be reviewed if you have simply referred to the contents of an attachment in your response.

Justification (purpose, benefit, outcome)*

Provide a justification for undertaking this activity that clearly articulates a beneficial outcome to the University of Adelaide. You may attach a file below (in the Staff Member Declaration Section) if you wish to provide additional information, but you are requested to provide an answer in this text field with sufficient technical detail of the activity to enable a review without the need to reference any extra attachments.

* Potentially insufficient information provided *

Proposed Start Date*

Proposed End Date*

If the purpose of the form is to "Hire a foreign citizen" for a continuing appointment, write "Continuing" in the box below.

Is the Foreign Engagement activity primarily related to research?*

Yes

Is the foreign engagement activity in an area in any of the listed Critical Technologies?*

Advanced materials and manufacturing
Additive manufacturing (incl. 3D printing)
Advanced composite materials
Advanced explosives and energetic materials
Advanced magnets and superconductors
Advanced protection
Continuous flow chemical synthesis
Coatings
Critical minerals extraction and processing
High-specification machining processes
Nanoscale materials and manufacturing
Novel metamaterials
Smart materials
AI, computing and communications
Advanced data analytics
Advanced integrated circuit design and fabrication
Advanced optical communications
Advanced radiofrequency communications (incl. 5G and 6G)
Artificial intelligence (AI) algorithms and hardware accelerators
Distributed ledgers
High performance computing
Machine learning (incl. neural networks and deep learning)
Natural language processing (incl. speech and text recognition and analysis)
Protective Cyber Security Technologies
Biotechnology, gene technologies and vaccines
Biological manufacturing
Biomaterials
Genetic engineering
Genome and genetic sequencing and analysis (Next Generation Sequencing)
Nanobiotechnology
Nanoscale robotics
Neural engineering
Novel antibiotics and antivirals
Nuclear medicine and radiotherapy
Synthetic biology
Vaccines and medical countermeasures
Energy and environment
Biofuels
Directed energy technologies
Electric batteries
Hydrogen and ammonia for power
Nuclear energy
Nuclear waste management and recycling
Photovoltaics
Supercapacitors
Quantum
Post-quantum cryptography
Quantum communications (incl. quantum key distribution)
Quantum computing
Quantum sensors
Sensing, timing and navigation
Advanced imaging systems
Atomic clocks
Gravitational-force sensors
Inertial navigation systems
Magnetic field sensors
Miniature sensors
Multispectral and hyperspectral imaging sensors
Photonic sensors
Radar
Satellite positioning and navigation
Scalable and sustainable sensor networks
Sonar and acoustic sensors
Transportation, robotics and space
Advanced aircraft engines (incl. hypersonics)
Advanced robotics
Autonomous systems operation technology
Drones, swarming and collaborative robots
Small satellites
Space launch systems (incl. launch vehicles and supporting infrastructure)

For more information please refer to the documents published by the Critical Technologies Policy Coordination Office (CTPCO).

Please select all research areas from the drop down list below that relate to the activity. If none apply, please select "None of the above" to register that you have declared the research activity is NOT in an area related to a Critical Technology.

Select

Any NEW entities involved?*

For this arrangement renewal or variation are there NEW entities (Australian and/or Foreign) involved that were not part of the prior arrangement? [Select "No" if the purpose of the form is to "Hire a foreign citizen"]

Yes

NEW Entities Instruction

In this next section (which asks about the entities involved), please only answer about the NEW entity/entities.

Besides the University of Adelaide, how many (legally distinct) entities are involved in this engagement?*

Although this is a form about foreign engagement, we also need to collect information about any Australian entities (other than the University of Adelaide) that are involved. Please include any other Australian entities in this count.

If this activity is hosting a foreign visitor, please provide the details of the visitor's employer or home institution.

*** Please list any foreign entities first (prior to listing Australian entities), in the following priority order

*** 1) foreign universities from Brunei, China, Hong Kong or Vietnam

*** 2) any foreign government, sub-government, agency or department

*** 3) any other foreign entity

If the purpose of the form is to "Hire a foreign citizen" please select "one" entity and enter the person's name and country of citizenship.

* More than 5 entities *

This form has space for up to 5 entities to be entered. You will be contacted via an automated email containing instructions on how to provide the detail for any entities not entered here. On THIS form, please enter the details for the 5 most important entities in the engagement.

Entity*

Please type in the correct LEGAL NAME of the institution (as it would appear on a contract).

Entity Country*

Please enter the country where the entity/individual is located or resides. In the case of multinational entities (other than the EU or UN which can be selected as special cases), please enter the country in which the contracting entity is headquartered.

Select

For FAS compliance we need to establish if the entity is (part of) a foreign government, a foreign government-related entity, a foreign political organisation, or linked to any of them in any way. The entity is/has (please select all that apply):*

For further guidance on the entity criteria for FAS and other foreign engagement schemes, such as FITS, refer to the University’s Foreign Compliance website.

If you select "None of the above", please do not select any other value.

Select

Please describe the reasons why you made that selection in the previous data field.*

If you are unsure, please provide information about the entity or individual to the extent of your knowledge.

For FAS we need to establish if the foreign university lacks institutional autonomy, i.e. a foreign government is in a position to exercise substantial control. Please select all that apply about the foreign university:*

If you select "None of the above", please do not select any other value.

Select

Briefly outline the basis for your responses in the previous data field. Include web links or other documentation where possible.*

Entity 2*

Please type in the correct LEGAL NAME of the institution (as it would appear on a contract).

Entity Country 2*

Select

For FAS compliance we need to establish if the 2nd entity is (part of) a foreign government, a foreign government-related entity, a foreign political organisation, or linked to any of them in any way. The entity is/has (please select all that apply):*

For further guidance on the entity criteria for FAS and other foreign engagement schemes, such as FITS, refer to the University’s Foreign Compliance website.

If you select "None of the above", please do not select any other value.

Select

Please describe the reasons why you made that selection in the previous data field.*

If you are unsure, please provide information about the entity or individual to the extent of your knowledge.

If you select "None of the above", please do not select any other value.

Select

Briefly outline the basis for your responses in the previous data field. Include web links or other documentation where possible.*

Entity 3*

Please type in the correct LEGAL NAME of the institution (as it would appear on a contract).

Entity Country 3*

Select

For FAS compliance we need to establish if the 3rd entity is (part of) a foreign government, a foreign government-related entity, a foreign political organisation, or linked to any of them in any way. The entity is/has (please select all that apply):*

For further guidance on the entity criteria for FAS and other foreign engagement schemes, such as FITS, refer to the University’s Foreign Engagement website.

If you select "None of the above", please do not select any other value.

Select

Please describe the reasons why you made that selection in the previous data field.*

If you are unsure, please provide information about the entity or individual to the extent of your knowledge.

If you select "None of the above", please do not select any other value.

Select

Briefly outline the basis for your responses in the previous data field. Include web links or other documentation where possible.*

Entity 4*

Please type in the correct LEGAL NAME of the institution (as it would appear on a contract).

Entity Country 4*

Select

For FAS compliance we need to establish if the 4th entity is (part of) a foreign government, a foreign government-related entity, a foreign political organisation, or linked to any of them in any way. The entity is/has (please select all that apply):*

For further guidance on the entity criteria for FAS and other foreign engagement schemes, such as FITS, refer to the University’s Foreign Engagement website.

If you select "None of the above", please do not select any other value.

Select

Please describe the reasons why you made that selection in the previous data field.*

If you are unsure, please provide information about the entity or individual to the extent of your knowledge.

If you select "None of the above", please do not select any other value.

Select

Briefly outline the basis for your responses in the previous data field. Include web links or other documentation where possible.*

Entity 5*

Please type in the correct LEGAL NAME of the institution (as it would appear on a contract).

Entity Country 5*

Select

For FAS compliance we need to establish if the 5th entity is (part of) a foreign government, a foreign government-related entity, a foreign political organisation, or linked to any of them in any way. The entity is/has (please select all that apply):*

For further guidance on the entity criteria for FAS and other foreign engagement schemes, such as FITS, refer to the University’s Foreign Engagement website.

If you select "None of the above", please do not select any other value.

Select

Please describe the reasons why you made that selection in the previous data field.*

If you are unsure, please provide information about the entity or individual to the extent of your knowledge.

If you select "None of the above", please do not select any other value.

Select

Briefly outline the basis for your responses in the previous data field. Include web links or other documentation where possible.*

FAS Determination - REGISTRATION MAY BE REQUIRED

Based on your responses so far in ENTITY data fields it has been automatically determined that this foreign engagement may need to be registered under FAS. If you think this determination has been made erroneously, please comment why in the "Other Comments" data field of the STAFF MEMBER DECLARATION / FORM SUBMISSION section.

FAS Register - request to obfuscate (hide) data*

It has been determined that this activity may need to be entered into the FAS public register hosted by the Federal Government. Are there any data fields that need to be obfuscated in that public register? Select from the drop down list and/or type a description. If you select "None", please do not select or type any other entry.

Select or enter value

FAS Obfuscation Reason*

Please supply a reason for the request to obfuscate (hide) data about this activity in the FAS public register. Select from the drop down list and/or type your own reason.

Select or enter value

Chinese foreign entities

If there are multiple Chinese entities that are a part of this agreement, please answer the ASPI questions that follow for the entity amongst them that has the highest risk rating and security credentials.

ASPI Risk Rating (China)*

For Chinese institutions, please enter the institution name in the ASPI Chinese Defence Universities Web Tracker and refer to the derived information in the next 3 ASPI fields.

ASPI Security Credentials (China)*

Not every institution with a listing in the ASPI Chinese Defence Universities Web Tracker has a disclosed Security Credential.

Not found

Classified

Secret

Top Secret

ASPI Chinese Defence Universities Web Tracker Text*

If the institution was not found in the ASPI Chinese Defence Universities Web Tracker, please enter "N/A". If there is too much text to enter into this field, please copy and paste it into a TXT or WORD document and attach it to the end of this form submission, and enter "See attachment" in this field.

Are you currently, or will you be in future, actively engaging in research in the declared research area with this Foreign Entity and/or Foreign Visitor?*

Yes

BENEFITS RECEIVED

As part of this or any prior engagement or activity, has any foreign entity provided you with any benefits (as defined by the University’s Conflict of Interest Procedure) to a value exceeding AU$500?*

If yes, please attach a spread sheet to this form (via file upload in the Staff Member Declaration Section) showing dates, and an itemised list of the benefits received and approximate value.

Yes

As part of this or any prior engagement or activity, has any associated entity paid for any travel and living expenses on your behalf, or offered to do so in the future?*

If yes, please attach a spread sheet to this form showing dates, locations and approximate AUD amounts.

Yes

As part of this engagement or activity does any associated entity commit to allocating resources for your use in their own country (e.g. setting up a lab)?*

If yes, please provide detail in the Other Comments Section or attach a document to this form (via file upload in the Staff Member Declaration Section) that describes the allocated resources.

Yes

COMPLIANCE QUESTIONS

In this section you will be asked to provide details that will enable evaluation for: 1) Compliance with International Sanctions, and DTC; 2) Risk of harm to the National Interest and University Reputation.

* START of multiple entity consideration *

Instructions in the case of multiple (legally distinct) foreign entities: In answering the following questions, please consider all of the foreign entities and select any of the answers that apply (to any of the entities). Do this up until you reach the "*** END of multiple entity consideration ***" header.

Is the foreign entity/individual from a sanctioned country?*

Please evaluate against the current information provided by DFAT on sanctioned countries.

Yes

Is the foreign entity/individual listed on the DFAT Consolidate List?

Please evaluate against the current DFAT Consolidate List.

Yes

* END of multiple entity consideration *

Is the proposed engagement in an area of research or technical application that is included on the Defence and Strategic Goods List (DSGL)?*

*** If this foreign engagement activity does not relate to research into or technical application of technology in any way, you may select "No" immediately. ***

*** Remember to right-click on links to open them in a new browser window, otherwise you will lose your form data. ***

*** The Government provided online DSGL search tool is no longer available (it has been decommissioned) so the DSGL needs to be manually searched. ***

The Defence and Strategic Goods List (DSGL) is the list that specifies the goods, software and technology that are regulated under Australian defence export control legislation.

Please follow the instructions on the DSGL website for making a self-assessment for 'controlled items'. You should open the DSGL document from that website and use the control-F function to search for key words.

When searching the DSGL consider the following:

Keep key word searches short and simple. (searching for the term ‘neural network’ will yield no results, but searching for ‘neural’ will go to ‘neural computer’).
Do not look for brand names, items in the DSGL will be referred by generic names.
Search for relevant synonyms for the item(s), not all synonyms are included; (example, Unmanned Aerial Vehicles, Uncrewed Aerial Systems).
Look at the relevant control categories in the DSGL, and make note of the terminology and acronyms used in the DSGL (e.g. instead of searching for the term ‘cubesat’ search for the term spacecraft’).

When completed, please upload a text file containing the search terms you used and if you found any relevant DSGL areas for those terms, please provide the description of those DSGL areas in the same text file.

Yes

Is there any likelihood that if the proposed activity were to occur it could be contrary to the National Interest?*

If the activity is in a sensitive or prescribed technology area or could be deemed as being contrary to Australian foreign policy, then a National Interest test may preclude the activity from being endorsed to proceed. Individual researchers should inform themselves as to whether or not their research or activity is in an area of national interest or otherwise of concern to the Australian Government. If you are unsure, please contact the Defence & National Security Officer (dso@adelaide.edu.au).

Yes

What is the likelihood that the University of Adelaide could be exposed to reputational risk if the proposed activity were to occur or if it were to become public knowledge?*

Very likely or almost certain to happen

Possible that it would happen

Very unlikely or not expected to happen

STAFF MEMBER DECLARATION / FORM SUBMISSION

Please upload any relevant or requested documentation.

This is your opportunity to provide additional material to support your application to undertake this foreign engagement.

Other than for visiting UG Students, activities relating to an individual (e.g. one or more named CIs on a grant, a visitor or a new hire) MUST include information to facilitate assessment of the individual(s). In lieu of collecting information that may compromise privacy laws, please provide at least one of the following (for each named individual attach a file, or enter a URL in the Other Comments Section):

An up to date CV
LinkedIn profile page URL
Google Scholar profile page URL
Personal profile page URL from their home institution

To ensure that staff are aware of and undertake at least some due diligence investigation of foreign engagements, all form submissions relating to research into or technical application of technology MUST include a text file describing the terms looked for in the DSGL search undertaken and any DSGL areas of concern.

Drag and drop files here or

Other Comments

Do you confirm that all of the information you have provided is correct and has been evaluated against the current information provided in the online references?*

Yes

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