(1) This Policy sets out the University’s approach and commitment to complying with key legislation and guidelines applicable to the University’s dealings and interaction with foreign governments, entities, and individuals, namely: (2) This Policy applies to: (3) The University recognises the strategic importance of the higher education sector to Australia’s national interests. It also recognises the risks posed by undisclosed foreign influence and foreign interference, including the risk of cyber incursions (e.g. a cyber attack). (4) The University is committed to proactively taking reasonable steps to: (5) It is the responsibility of all staff, students, honorary appointees and other members of the University to: (6) The University will apply a risk-based approach to compliance and embed risk mitigation strategies in its processes to assist staff, students, honorary appointees and other members of the University to comply with the compliance obligations and commitments referenced in this Policy. (7) All staff, students, and other members of the University are expected to seek advice about their compliance with this Policy where they are unsure, and report any concerns or possible breaches as soon as possible and in line with this Policy (see below for further detail). (8) Failure to comply with this Policy may result in disciplinary action and, in some cases, could result in criminal prosecution. (9) The following procedures set out how to comply with this Policy. (10) Australia’s sanctions regime is intended to help protect Australian’s national security and strategic priorities. Australia’s sanctions regime is comprised of the Charter of United Nations Act 1945 (Cth) and Autonomous Sanctions Act 2011 (Cth). (11) The sanctions regime prohibits organisations such as the University and individuals from: (12) Individuals and the University can be held liable for a breach of Australian sanction laws if they cannot demonstrate that ‘reasonable precautions’ were taken, and ‘due diligence’ was exercised in relation to the relevant activity. (13) Examples of how the sanctions regime can impact the University include: (14) Further information about Australia’s sanction regime can be found on the Department of Foreign Affairs and Trade’s sanctions website, including: (15) The University also has: (16) The Defence Trade Controls Act 2012 (Cth) (‘DTCA’) and Customs Act 1901 (Cth) regulates the supply, publication and brokerage of defence and strategic goods, technology, and software listed on the Defence and Strategic Goods List (DSGL). (17) The DTCA is intended to prevent such activities where it could assist the proliferation of conventional weapons and weapons of mass destruction. The Weapons of Mass Destruction (Prevention of Proliferation Act) 1995 (Cth) also prohibits supplying or exporting goods or providing services in circumstances where a person reasonably suspects they may assist in a weapon of mass destruction program. (18) The DTCA is not intended to restrict the transfer of information or research, but, similar to sanctioned activities, where research involves goods, technology and software are listed on the DSGL, permission will generally be required in the form of a permit from the Australian Minister of Defence. (19) The DGSL is divided into two parts: (20) Permits must be obtained from the Australian Minister of Defence before the export/supply, publication or brokerage of controlled goods or technologies on the DSGL can occur. For example before: (21) There are a number of exemptions that can apply to the obtaining of a permit (and advice should be sought in accordance with this Policy if in doubt). For example, a permit may not be required where: (22) Further information on the DTCA can be found on: (23) A plain language summary of the legislation can also be found on the University’s Compliance site. (24) The Foreign Influence Transparency Scheme Act 2018 (Cth) (‘FITS) provides public and government decision-makers with visibility on the nature, level and extent of foreign influence on the Australian government and its political processes. (25) FITS requires individuals and the University to register with the Attorney-General’s Department any arrangements they have with Foreign Principals (as defined in section 10 of the FITS Act) where it relates to activities which may exert foreign influence upon the Australian Government. (26) The types of registrable activities include: (27) Particular attention as to whether an activity is registrable should be paid in circumstances where a foreign government or government official is funding, involved in or stands to benefit from the particular activity. (28) Further information about FITS can be found on: (29) A plain language summary of the legislation can also be found on the University’s Compliance site. (30) The Guidelines to Counter Foreign Interference in the Australian University Sector (‘UFIT Guidelines’) are a set of recommendations issued by the Australian Government to universities and research organisations to help manage the risk of foreign interference. (31) The UFIT Guidelines also help manage the risk of breaches of the Criminal Code Act 1995 (Cth) as it relates to espionage (which includes recklessness as to the risk of espionage). (32) The University will take reasonable steps to embed appropriate business practices to align with the four key areas identified in the UFIT Guidelines, namely: (33) Considering and managing the risk of foreign interference is particularly important where the University is undertaking research involving what the Australian Government considers to be a ‘Critical Technology’. (34) Australia’s Foreign Relations (State and Territory Arrangements) Act 2020 (Cth) (referred to as the Foreign Arrangement Scheme or FAS) requires the University to notify the Minister for Foreign Affairs of all ‘written arrangements’ (which includes agreements/contracts, understandings or undertakings) that it proposes to enter with a ‘foreign entity’. A foreign entity includes: - a foreign country; a foreign government, department, or agency; public authorities established for a public purpose (such as public research institutes, medical research centres and military academies); local public authorities (such as municipal councils) as well as foreign universities that lack ‘institutional autonomy’. (35) The Minister for Foreign Affairs may vary or terminate the arrangement if the government considers it to be contrary to Australia’s foreign policy. (36) Further information can be found on the Department of Foreign Affairs and Trade website and the La Trobe Foreign Engagement intranet site. A plain language summary of the legislation can also be found on the University’s Compliance site. (37) Undertaking appropriate due diligence is fundamental to ensuring compliance against the obligations set out in this Policy. Due diligence is about undertaking reasonable enquiries to ensure the party/ies with who the University will be interacting are reputable/appropriate, ensuring any proposed activity complies with relevant compliance obligations or commitments and identifying, assessing and then mitigating risk. (38) Before conducting research involving critical technologies or interacting with a foreign individual or entity for or on behalf of the University, staff, students and other members of the University must: (39) Undertaking appropriate due diligence includes completing the University’s Foreign Engagement Risk Assessment Tool, which is intended to ensure that the following compliance checks, risk identification and management processes have been conducted, namely: (40) The assessment of foreign interference and legal compliance risks is ongoing, and should be considered throughout the arrangement/project or undertaking. In addition, changes in the geo-political environment might also be a relevant consideration. Where a contract is involved, the ongoing consideration of such risks also forms part of contract management throughout the term of a contract – see the Contracts Policy. (41) It is the primary responsibility of staff, students, honorary appointees and other members of the University to ensure their university-related activities comply with the legislative compliance obligations and compliance commitments set out in this Policy. (42) Before engaging with a foreign individual or entity or undertaking research involving Critical Technologies staff, students and other members of the University are expected to: (43) The risk of sanctions breaches and foreign interference should also be considered as part of the recruitment and honorary appointment process, particularly where: (44) In such circumstances, Hiring Managers and those responsible for approving honorary appointments should consider the individual’s previous employment with a foreign government or entity and seek advice from Human Resources where risk factors are identified. (45) Human Resources will escalate issues to the Foreign Engagement Review Group as appropriate. (46) As part of managing educational partnerships, the Educational Partnerships Office will ensure appropriate due diligence has been conducted in accordance with the Educational Partnerships Policy as well as the Foreign Engagement Risk Assessment Tool. Any compliance concerns regarding Educational Partnerships, must be escalated to the Pro Vice-Chancellor (Educational Partnerships) in the first instance. (47) While the obligations set out in the Policy apply to all University activities, given the nature of the obligations, it is particularly important that researchers understand their obligations and comply with this Policy to ensure their research activities are lawful and that foreign interference risks are identified and appropriately mitigated as set out in Part B and Part C of this Policy. (48) As part of managing research grants and contracts involving a foreign individual or entity, or Critical Technologies, the Research Office will ensure that Principal Investigators have completed the Foreign Engagement Risk Assessment Tool. The Research Office will assess the content, take reasonable steps to check it has been completed correctly, provide compliance advice to the researcher/school as required and escalate compliance concerns to the Executive Director, Research Office (‘ED RO’) as appropriate. (49) Where compliance risks are identified, the Principal Investigator or Principal Supervisor will be responsible for: (50) Foreign Engagement Risk Management Plans should be provided to the Research Office who will review and record the plan, and submit it to the Foreign Engagement Review Group for their review and secure storage. (51) The Executive Director, Research Office will: (52) The GRS and Schools will undertake an assessment of all applications by international students for admission to higher degrees by research and all applications where the proposed research project involves Critical Technologies as outlined in the clauses below, and take reasonable steps to ensure appropriate due diligence has been undertaken, including ensuring relevant permits have been applied for where Part 1 DGSL tecnology is inovolved and no exemption(s) apply and the proposed research complies with this Policy. (53) For graduate research applications, the initial assessment will be undertaken by the intended Principal Supervisor of the applicant who has the appropriate knowledge and skill to understand the proposed area of research to recognise whether there are compliance issues. For applicants in Joint PhD programs where the Principal Supervisor is employed at an overseas institution, the primary La Trobe University supervisor will be responsible for this task. (54) The Graduate Research School will ensure that Principal Supervisors have completed the Foreign Engagement Risk Assessment Tool where required, before an application for a higher degree by research candidate to work on that project is considered. The Graduate Research School will assess the content, take reasonable steps to check it has been completed correctly, and provide a copy to the Research Office for review if necessary or where compliance risks have been identified. (55) Where compliance risks are identified, the Principal Supervisor will be responsible for the actions listed above under the heading ‘Research Office’ at clause (47) and providing a copy of the risk management plan to the Research Office. (56) Where a student has connections to a sanctioned country, the GRS will also ensure the appropriate UNSC and Autonomous Sanctions Compliance Assessment Form is completed to determine if the research topic: (57) The School Director of Graduate Research (DGR) will review all assessments undertaken by Principal Supervisors for applicants relating to their school. The application will not proceed to the next step without their endorsement. (58) Principal Supervisors of students from or connected to sanctioned countries are required to notify the Graduate Research School of any change to the student’s research topic at any time. Where there is a substantive change in topic, the GRS will ensure the appropriate Change in Thesis Topic UNSC and Autonomous Sanctions Compliance Assessment Form is completed. Students are also required to ensure that any such change does not conflict with any visa obligations they have. (59) The Pro Vice-Chancellor (Graduate and Global Research) will: (60) Human Resources (HR) is responsible for advising on and promoting the University’s Conflict of Interest Policy. (61) Human Resources is also responsible for conducting appropriate pre-employment checks to mitigate the risks of visa or sanctions breaches and/or foreign influence and interference. (62) Information Services (IS) is responsible for implementing a cybersecurity strategy to limit the risk of a unauthorised cyber-incursions. (63) In accordance with the UFIT Guidelines, IS will identify and mitigate potential threats to the University’s cybersecurity. This includes, creating controls to reduce the risk of a cyber attack and providing training and awareness programs. (64) Any concerns pertaining to the University’s cybersecurity or possible cyber attack should be immediately reported to the Chief Information Security Officer. (65) The University has established the Foreign Engagement Review Group (‘FERG’) to assist with and oversee the University’s compliance with the compliance obligations set out in this Policy, namely the Sanctions Regime, DTCA, FITS, UFIT Guidelines, and FAS Scheme. (66) FERG is supported by the Foreign Arrangement Team who administer and coordinate the Foreign Engagement Review Group's activities. The Foreign Engagement Review Group is responsible for: (67) The Foreign Engagement Review Group is comprised of the following staff or their nominees: (68) Other staff may be invited to attend where specialist advice or information is required. (69) For the purpose of this policy and procedure: (70) This Policy is made under the La Trobe University Act 2009.Foreign Engagement Policy
Section 1 - Key Information
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Policy Type and Approval Body
Administrative - Vice-Chancellor
Accountable Executive – Policy
Deputy Vice-Chancellor (Future Growth)
Responsible Manager – Policy
Pro Vice-Chancellor (Educational Partnerships)
Review Date
30 May 2026
Section 2 - Purpose
Top of PageSection 3 - Scope
Top of PageSection 4 - Key Decisions
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Key Decisions
Role
Determine whether to notify a government agency of a foreign interference risk
Chair of the Foreign Engagement Review Group
Determine whether the Minister for Foreign Affairs of a foreign arrangement pursuant to the FAS Scheme
Chair of the Foreign Engagement Review Group
Determine whether an arrangement with a Foreign Principal is registrable with the Attorney-General’s Department under the FITS Scheme
Vice-Chancellor
Determine whether a permit will be requested from the Minister of Foreign Affairs under the Sanctions regime
Pro Vice-Chancellor (Graduate and Global Research) or Executive Director, Research Office
Determine whether a permit will be requested from the Minister for Defence under the Defence Trade Controls Act
Executive Director, Research Office
Section 5 - Policy Statement
Section 6 - Procedures
Part A - Overview of the Legislation and Foreign Interference Guidelines
Sanctions Regime and Non-Proliferation
Activity
Potential Sanctions exposure
Enrolling a student, employing a staff member, appointing a person to an honorary position or inviting a visiting academic to La Trobe where they have been deemed to be a ‘designated person’ (i.e. they appear on DFAT’s Consolidated List).
Making assets available to or dealing with the assets of a designated person
Approving a research topic or a change to a research topic of a graduate research candidate from a sanctioned country which relates to a sanctioned good and that research is considered “technical training.”
Providing a sanctioned service
Undertaking research collaborations with, or providing other services to a person or entity from a sanctioned country in an area relating to a sanctioned good and that research/service is considered “technical advice, assistance or training”.
Providing a sanctioned service
Undertaking research, education or other collaborations with a designated person or entity.
Making assets available to designated persons or entities
Travelling overseas to present at international conferences, which may be attended by individuals from sanctioned countries, and delivering technical advice, assistance or training in relation to a sanctioned good.
Providing a sanctioned service
Defence Trade Controls Act 2012 (Cth)
Foreign Influence Transparency Scheme Act 2018 (Cth)(FITS)
Universities Foreign Interference Taskforce Guidelines (UFIT)
Australia’s Foreign Relations (State and Territory Arrangements) Act 2020 (Cth)(FAS)
Part B - Due Diligence and Risk Management
Part C - Responsibilities
Individuals
Researchers
Research Office
Graduate Research School (GRS)
Human Resources
Information Services
Part D - Foreign Engagement Review Group
Section 7 - Definitions
Section 8 - Authority and Associated Information
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The Department of Industry, Science and Resources maintains the List of Critical Technologies and provides examples of types of technologies may fall within the above categories.
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