HDR – Sanctions Assessment Form

Higher Degrees by Research – Sanctions Assessment Form

This form needs to be completed when an HDR applications is received from any prospective student, who may be affected by sanctions arising from the Autonomous Sanctions Act 2011 or the Charter of United Nations Act 1945.

Sanctions are quite specific and aim to restrict activities considered to pose a threat to national security or contrary to Australia’s national interests. Sanctions may require the University to restrict its activities or the provision of services (e.g. education, training, research or commercial activities). Penalties for contravening a sanctions provision may include up to ten years in prison and substantial fines (at least $425,000 for individuals and $1.7million for corporations).

More information about sanctions is available from the Department of Foreign Affairs and Trade (DFAT) at .

Section 1–Applicant information

For completion by the relevant Admissions Officer (International Compliance)

  1. Applicant details

RMIT Student ID: / Application Number: / 13000
Family Name: / Given Name(s):
Expected Start Date: / Expected Completion Date:
  1. Country, citizenship and visa details (complete as per details provided by student in application)

Country of application or residency: / Current Australian visa status:
Country of citizenship(s):
  1. Sanctioned persons or entities check

Based on the identification provided, is the applicant listed on the DFAT consolidated list as being a person against whom sanctions apply? / [ ]Yes [ ] No
If ‘yes’, application must be denied
Is the applicant being sponsored? / [ ]Yes [ ] No
Name of Sponsor: (if applicable)
If sponsored, is the sponsor listed on the DFAT consolidated list as being a person or entity against whom sanctions apply? / [ ]Yes [ ] No
If ‘yes’, application must be denied
Do the applicant’s supporting documents (e.g. CV) indicate any current or former relationship with a designated individual or entity (e.g. working for a sanctioned entity or former studies with a sanctioned university)? / [ ]Yes [ ] No
If ‘yes’, application must be denied
Section 1 was completed by:
Name: / Title:
Signature: / Date:
Additional Notes:

If the applicant is from Former Yugoslavia, Guinea-Bissau, Iraq, South Sudan or Yemen, no further sanctions assessment is required. If all checks are OK, please provide back to the appropriate admissions office to continue with the normal admission process.

For applicants from all other sanctioned countries, please provide the assessment form completed so far, together with all application documentation (should include application form, research proposal, CV and any other supporting documentation) to the relevant School for further completion.

Section 2 – Information relating to academic eligibility

For completion by the proposed Principal Supervisor of the applicant.

  1. Proposed study details:

Program Name: / Program Code:
School: / College:
Title of proposed project:
Is a supervisor available? / [ ]Yes [ ] No / Name of proposed supervisor
Are appropriate resources available for this applicant? / [ ]Yes [ ] No
Is this research topic aligned with RMIT’s research priorities? / [ ]Yes [ ] No
Is it likely that any funding (sponsorship, scholarship or other) will be provided to the student by the University or School? / [ ]Yes [ ] No
If funding will be provided, please provide details
Does the School assess the student as eligible for admission based on academic qualifications and appropriate supervisor resources? / [ ]Yes [ ] No

If any of the answers in section 2 are ‘no’, then a decision should be made as to the applicant’s eligibility. If not eligible, no further sanctions assessment is required and the form with supporting documents should be returned to the appropriate admissions office for appropriate denial communication.

If the student is eligible for admission, please proceed with sanctions questions in section 3.

Section 3 – Information relating to potential sanctions impact of study

For completion by the proposed Principal Supervisor of the applicant.

This section of the form is to gather information for an assessment of the applicant’s proposed research, which may involve:

  • Studying in an area that is affected by sanctions or may be used for sanctioned purposes and/or
  • Working with or having access to, sanctioned facilities, materials or equipment and/or
  • As a result of their study, supplying or being supplied with sanctioned technical advice, assistance or training and/or
  • Transferring or supplying information, materials, equipment or services to a sanctioned person, entity or country

Some questions require referencing information contained in supplementary documents. Where this is required details of the relevant website are included. It is critical that all supplementary information is accessed and referenced where required.

Where there is any doubt as to whether to answer yes or no to any question, please select yes.

Section 3A – to be completed for all applicants from any sanctioned country

During the research project:
Will the training relate to the manufacture, maintenance or use of the following goods or items?
Arms or related material – including anything relating to weapons; ammunition; military vehicles and equipment; spare parts and accessories relating to weapons, ammunition of military vehicles or equipment (as defined in Appendix A) / [ ]Yes [ ] No
Paramilitary equipment (as defined in Appendix A) / [ ]Yes [ ] No
A military activity or activity that could potentially have a military dual-use (as defined in Appendix A) / [ ]Yes [ ] No
Ability to provide advice or training related to military activities / [ ]Yes [ ] No
Provision of technical assistance, training, financial or other assistance related to the provision of armed mercenary personnel (Libyan and Central African Republic applicants only) / [ ]Yes [ ] No
If ‘yes’ to any of the above, please provide details of the good(s) and how it will be used in the research

If the applicant is from a country other than Iran, Syria, Russia or Ukraine, please go to Section 4.

If the applicant is from Iran,please complete Section 3B.

If the applicant is from Syria, please complete Section 3C.

If the applicant is from Russia or Ukraine, or from the Crimea and Sevastopol region, please complete Section 3D.

Section 3B – to be completed for all Iranian applicants

To assist in completing this section, please refer to:

  • Sanctions information relating to Iran on:

During the research project:
Will the training relate to the manufacture, maintenance or use of the following goods or items?
Nuclear material or associated equipment and technology / [ ]Yes [ ] No
Anything that could contribute to enrichment-related, reprocessing or heavy water-related activities, or to the development of nuclear weapon-delivery systems / [ ]Yes [ ] No
Raw and semi-fabricated graphite, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Iran) Amendment Specification 2016 / [ ]Yes [ ] No
Corrosion-resistant high-grade steel, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Iran) Amendment Specification 2016 / [ ]Yes [ ] No
Nickel and alloys, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Iran) Amendment Specification 2016 / [ ]Yes [ ] No
Aluminium and alloys, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Iran) Amendment Specification 2016 / [ ]Yes [ ] No
Other base metals, cermets and articles thereof, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Iran) Amendment Specification 2016 / [ ]Yes [ ] No
Enterprise resource planning software, designed specifically for use in nuclear and military industries / [ ]Yes [ ] No
If ‘yes’ to any of the above, please provide details of the good(s) and how it will be used in the research

Section 3C – to be completed for all Syrian applicants

To assist in completing this section, please refer to:

  • Sanctions information relating to Syria on:

During the research project:
Will the training relate to the manufacture, maintenance or use of the following goods or items?
Gold, precious metals and/or diamonds / [ ]Yes [ ] No
Equipment and technology for use in the construction or installation of new power plants, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Syria) Specification 2012 / [ ]Yes [ ] No
Equipment and technology for the oil and gas industry, or the petrochemical industry, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Syria) Specification 2012 / [ ]Yes [ ] No
Newly printed or unissued Syrian denominated bank notes or newly minted or unissued Syrian denominated coinage. / [ ]Yes [ ] No
Equipment, technology or software for monitoring or interception of internet or telephone communications, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Syria) Specification 2012 / [ ]Yes [ ] No
Luxury goods, of a kind specified in the Autonomous Sanctions (Export Sanctioned Goods – Syria) Specification 2012 / [ ]Yes [ ] No
Goods or particular concern, including materials, chemicals, micro-organisms and toxins, of a kind designated in the Autonomous Sanctions (Export Sanctioned Goods – Syria) Designation 2012 / [ ]Yes [ ] No
If ‘yes’ to any of the above, please provide details of the good(s) and how it will be used in the research

Section 3D – to be completed for all Russian and Ukrainian (including Crimea and Sevastopol) applicants

To assist in completing this section, please refer to:

  • Sanctions information relating to Ukraine on:
  • Sanctions information relating to Russia on:
  • Sanctions information relating to Crimea and Sevastopol on:

During the research project:
Will the training relate to the manufacture, maintenance or use of the relevant goods or items?
Items, of a kind specified in theAutonomous Sanctions (Russia, Crimea and Sevastopol) Specification 2015, relating to the creation, acquisition or development of infrastructure for the transport, telecommunications, energy, oil, gas, or minerals sector / [ ]Yes [ ] No
Equipment and technology for the oil and gas industry, of a kind specified in the Autonomous Sanctions (Russia, Crimea and Sevastopol) Specification 2015 / [ ]Yes [ ] No
Any other goods or materials, of a kind specified in the Autonomous Sanctions (Russia, Crimea and Sevastopol) Specification 2015 / [ ]Yes [ ] No
If ‘yes’ to any of the above, please provide details of the good(s) and how it will be used in the research

Section 4: Supervisor’s Declaration

For completion by the proposed Principal Supervisor of the applicant.

Principal Supervisor Assessment and Determination:
Please check the appropriate box.
The study proposed does not relate to any sanctioned goods, items or activities under the applicable sanctions regime and I support admission into the program / ☐
The study proposed does relate to a sanctioned good, item or activity and the applicant should apply to DFAT for a permit prior to admission into the program / ☐
The study proposed is considered too high risk from a sanctions compliance perspective and the application should be rejected accordingly. / ☐
I declare that:
  • I am aware of the Australian Autonomous or United Nations Sanctions Regime and the HDR admission processes put in place by the University to ensure compliance with the regime;
  • All information and assessments provided on or appended to this Form are true and correct to the best of my knowledge, information and belief;
  • I understand that providing false information in this Form could result in serious penalties for me and/or the University as outlined on page 1;
  • If the applicant is admitted, the project, project requirements and research environment will be monitored to ensure ongoing compliance with sanctions requirements, and any changes to the project that may affect compliance will be immediately reported to the Head of School and the Dean, School of Graduate Research.

Name: / Title:
Signature: / Date:

Section 6: Head of School Declaration

For completion by the Head of School

Head of School Endorsement:
Please check the appropriate box.
I am aware of the Australian Autonomous and United Nations Sanctions Regime and the School has mechanisms in place to ensure ongoing sanctions compliance for this application. I therefore support the application for admission (pending SHAEC approval). / ☐
I am aware of the Australian Autonomous and United Nations Sanctions Regime and am not satisfied that the School will be able to ensure ongoing sanctions compliance for this application. I therefore decline the application for admission. / ☐
I declare that:
  • I am aware of the Australian Autonomous or United Nations Sanctions Regime and the HDR admission processes put in place by the University to ensure compliance with the regime;
  • This sanctions assessment has been completed in accordance with RMIT University procedure by a supervisor with the requisite methodological and theoretical expertise to provide a rigorous and meaningful risk assessment;
  • If the applicant is admitted, the project, project requirements and research environment will be monitored to ensure ongoing compliance with sanctions requirements, and any changes to the project that may affect compliance will be immediately reported to the Dean, School of Graduate Research.

Name: / Title:
Signature: / Date:

Please now return this completed form, and all supporting documentation, to Nicholas Pappin in the Compliance, Regulation and Reporting Group, via email , for submission to the Sanctions: HDR Application Evaluation Committee (SHAEC). Please note, all applications from sanctioned countries must be approved by the SHAEC prior to admission into an RMIT HDR program.

APPENDIX A – DEFINITIONS

Arms or related material (sanctioned good) / Includes any of the following:
  • Weapons
  • Ammunition
  • Military vehicles and equipment
  • Spare parts and accessories for things listed above
  • Goods mentioned in the Defence and Strategic Goods List.
Also includes anything that may have a potential dual-use transfer to any of the above.
Paramilitary equipment (sanctioned good) / Means any of the following:
  • Batons, clubs, riot sticks and similar devices of a kind used for law enforcement purposes
  • Body armour, including bullet resistant apparel and pads; protective helmets
  • Handcuffs, leg irons and other devices used for restraining prisoners
  • Riot protection shields
  • Whips
  • Parts and accessories designed or adapted for use in, or with, equipment listed above
Also includes anything that may have a potential dual-use transfer to any of the above.
Equipment with a potential dual-use / Dual use goods are products and technologies normally used or developed for civilian or commercial purposes but which may have military application
Petrochemical industry (sanctioned good) / Production plants for the manufacturing of petrochemical products of the following goods:
  • Crude oil products
  • Petroleum products
  • Petrochemical products

Sanctioned service / Includes the provision to a person of technical advice, assistance or training or another service if it assists with, or is provided in relation to, an activity mentioned below:
  • A military activity
  • A sanctioned supply (good) for Iran, Syria, Russia and/or Ukraine
  • The manufacture, maintenance or use of an export sanctioned good for Iran
  • If it assists with, or is provided in relation to, an activity involving the supply, sale, transfer, import, purchase or transport of an item of gold, precious metals and diamonds to or from the Government of Iran or a public body, corporation, or agency of the Government of Iran.

Breaches / A person contravenes Regulation if we provide an unauthorised sanctioned service.
Current list of countries subject to sanctions / Burma, Central African Republic, Cote d’Ivoire, Democratic Republic of Congo, Eritrea, Guinea Bissau, Iran, Iraq, Lebanon, Liberia, Libya, Somalia, Sudan, Syria, Ukraine, Russian Federation, Yemen, Zimbabwe and Democratic Republic of Korea (North Korea). Sanctions also apply to Al Qaida and the Taliban and the Former Federal Republic of Yugoslavia.
1 / APPENDIX A – DEFINITIONS | RMIT University