Individual and companies committed to fulfilling their obligations may unintentionally be non-compliant with export controls obligations. Defence prioritises working with individual and companies to identify the causes of non-compliance and help them put measures in place to prevent future recurrences.
Defence encourages exporters/suppliers to voluntarily disclose when they suspect non-compliance has occurred. A voluntary disclosure can be made by sending an email with information about the suspected non-compliance. Ideally the voluntary disclosure should include, but not be limited to, the following information:
- name of individual/entity making the disclosure with applicable contact details
- details for the suspected non-compliance and any supporting documentation
- date or dates that the non-compliance may have occurred.
Assessment and response
Defence may consider the following factors in responding to the disclosure:
- whether the entity came forward with a timely, accurate and comprehensive disclosure
- whether the non-compliance was deliberate intent, negligent or due to a lack of understanding
- 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.
Defence’s preferred approach to managing non-compliance is one of prevention. However, in some circumstances, Defence may initiate more formal corrective measures, including:
- outreach and education
- formal warning letters
- new and/or more restrictive conditions on permits (including broker registrations)
- revocation of permits and broker registrations.
Referrals to enforcement agencies
Defence may also refer severe or repeated cases of non-compliance to enforcement agencies together with recommendations for investigations, inspections and other possible punitive action.