Australia — Export Controls

Australia's export-control regime for military and dual-use items is governed primarily by the Defence Trade Controls Act 2012 (DTC Act), which received Royal Assent on 13 November 2012. Section 3 of the DTC Act provides that the Act "regulates dealings in items listed in Part 1 or 2 of the Defence and Strategic Goods List and in items covered by the Defense Trade Cooperation Treaty between Australia and the United States of America."

The Defence and Strategic Goods List (DSGL) is a legislative instrument made under the Customs Act 1901 and the DTC Act that specifies the goods, technology, and software regulated under Australian export-control laws. The DSGL is structured in two parts: Part 1 (Munitions List) covers military goods and technologies and non-military lethal goods and technologies, while Part 2 (Dual-Use List) covers dual-use goods and technologies. The DSGL is amended periodically to reflect changes in the control lists maintained by four multilateral export-control regimes of which Australia is a member: the Wassenaar Arrangement, the Missile Technology Control Regime, the Australia Group, and the Nuclear Suppliers Group. Within Part 2, items are further categorized into ten categories (0–9) with five subcategorizations: Systems/Equipment/Components; Test/Inspection/Production Equipment; Materials; Software; and Technology.

Core offences under the DTC Act prohibit, absent a permit or exemption, the following activities:

• Section 10: Supply of DSGL technology from a place in Australia to a place outside Australia, or publishing DSGL technology from a place in Australia with the intention of making it available to persons outside Australia
• Section 10A (effective 1 March 2025): Supply of DSGL technology at a place in Australia to a foreign person who is not an exempt foreign person
• Section 10B (effective 1 March 2025): Supply of DSGL goods or DSGL technology by a person outside Australia, where the goods or technology have been exported or supplied from Australia, and the person knows or is reckless as to whether the export or supply was from Australia
• Section 10C (effective 1 March 2025): Provision of DSGL services relating to Part 1 of the DSGL to a foreign person outside Australia

Sections 10A, 10B, and 10C were inserted by the Defence Trade Controls Amendment Act 2024, which received assent on 8 April 2024, commenced on 1 September 2024, and (pursuant to subsection 2(1) item 4 of the Amendment Act) brought the offence provisions into effect six months after commencement.

The DTC Act extends jurisdiction to "intangible" transfers—section 4 defines "supply" to include supply by electronic or other intangible means, and section 4 defines "publish" to include making available by electronic means or on the internet. Intangible supply includes transmission of DSGL technology by email, fax, telephone, video conferencing, or providing access to electronic files or presentations containing DSGL technology. The Act applies to industry, universities, and research sectors.

Permit authority and decision criteria: The Minister for Defence issues permits under Part 2 of the DTC Act. Section 33 of the DTC Act empowers the Minister to give directions to avoid prejudice to the security, defence, or international relations of Australia. Before issuing a permit under the DTC Act or the parallel Customs Act regime, the Minister must consider criteria set out in the DTC Act and the Defence Trade Controls Regulations 2013, including whether the export or supply would prejudice Australia's security, defence, or international relations.

Customs Act overlay for tangible exports: For physical exports of tangible goods, the Customs Act 1901—via Regulation 13E of the Customs (Prohibited Exports) Regulations 1958—prohibits the export from Australia of tangible military and dual-use goods and technology on the DSGL unless a permit is produced to a Collector of Customs before exportation. Section 112BA of the Customs Act functions as a catch-all provision: the Minister for Defence may give notice prohibiting a person from exporting goods (whether or not on the DSGL) to a particular place or particular person if the Minister suspects on reasonable grounds that the goods would or may be for a military end-use that would prejudice the security, defence, or international relations of Australia. Under section 112BC, the Minister must cause a statement to be tabled in each House of Parliament within 15 sitting days after giving a prohibition notice under section 112BA.

WMD Act: The Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (WMD Act) regulates goods, technology, or services that could be used in, or assist, a weapons of mass destruction program. The Minister for Defence may prohibit export or supply, or issue a permit for export or supply, if it aligns with Australia's international or treaty obligations or the national interest.

AUKUS reforms: The Defence Trade Controls Amendment Act 2024 introduced reforms including a national exemption for the United Kingdom and the United States from Australia's export-control permit requirements under the DTC Act. The reforms support the AUKUS framework by removing licensing requirements for most military goods and technology exported, re-exported, or transferred in-country to or within the three AUKUS partners, subject to conditions and exclusions set out in the Act and Defence Trade Legislation Amendment Regulations 2024.

Administrative review: Part 7 of the DTC Act provides for internal review by the Minister of reviewable decisions (section 64), followed by review by the Administrative Review Tribunal (section 65).

The Department of Defence administers the export-control regime through Defence Export Controls (DEC).

Source: Defence Trade Controls Act 2012 Source: Defence and Strategic Goods List 2024, F2024L01024 Source: Customs Act 1901 Source: Defence Trade Controls Amendment Act 2024, C2024A00021 Source: Department of Defence – Legislation

Australian export-control permits for DSGL goods and technology are issued by the Minister for Defence under Part 2 of the Defence Trade Controls Act 2012 or under Regulation 13E of the Customs (Prohibited Exports) Regulations 1958 for tangible exports. All permit applications are lodged through the My Australian Defence Exports (MADE) portal.

Client registration: A Defence Exports Control Client Reference Number (DCRN) is required when applying for permits. Applicants must register on the MADE portal to obtain a DCRN before submitting applications. The prior Defence Export Control System (DECS) registration process has been replaced by MADE.

Application types: The MADE portal provides separate application workflows for different categories of regulated activity. Applications are assessed by Defence Export Controls (DEC) on a case-by-case basis against specific legislative criteria. A permit is required only when an export, supply, brokering, or publishing activity is controlled under the DSGL and no exemption applies. DEC may issue different types of permit according to need and an assessment of the circumstances.

Assessment criteria: Under section 33 of the Defence Trade Controls Act 2012, the Minister (or delegate) assessing a permit application "must have regard to the criteria prescribed by the regulations for the purposes of this paragraph"—specifically section 8 of the Defence Trade Controls Regulation 2013—"and may have regard to any other matters that the Minister, delegate of the Minister or Secretary considers appropriate." The central question is whether the proposed export, supply, or provision would prejudice Australia's security, defence, or international relations.

If a delegate concludes that an activity would prejudice security, defence, or international relations, the delegate must refer the matter to the Minister to decide personally under subsections 73(7) and (8) of the Act. Applications that are considered sensitive may be referred to other areas within Defence or to other Australian Government agencies for consideration.

Supporting documentation: Applicants should ensure that all required information is supplied at the time of lodgement to facilitate timely assessment. Defence recommends providing technical specifications, brochures, product marketing material, end-user certificates, or other relevant documentation. Large supporting documents should be scanned in black and white or greyscale only. "Providing us with specifications, brochures, or other relevant marketing material for the goods you wish to export can help to prevent delays."

For Section 10A supplies of DSGL technology to foreign persons within Australia who are citizens of the Five Eyes alliance countries (Canada, New Zealand, the United Kingdom, and the United States of America), applicants "will no longer need to provide detailed information on proposed individual end users. It will be sufficient to provide the proposed end user's citizenship only."

Processing timeframes: "Other than in exceptional circumstances, the assessment time for routine applications is up to 15 working days, (commencing from the date a complete application, with all supporting documentation, is received). For applications requiring referral to other agencies, the assessment time is up to 35 working days and sometimes longer for highly complex applications." DEC publishes regular reports on performance against these targets. When an applicant submits an application, DEC sends an automated response advising that the application has been received. Applicants who do not receive the automated email within 48 hours should contact DEC at 1800 66 10 66 to follow up.

Group and project permits: Defence can simplify the export-approval process for groups working on a joint project or collaborative activity. Defence can accept an application from a single applicant applying on behalf of other applicants and issue similar permits to each of the individuals or organisations listed on the application. Only one person submits an application on behalf of all other parties who will require an export permit. Each of the parties named on the application will be issued with a separate permit. Organisations may also match permits to contracts to help manage export-control compliance; this may be useful for contracts with Defence as well as sustainment or warranty agreements. As part of the application, the expiry date, name/title of the contract, and documentary evidence of the contract will need to be provided.

Permit issuance and conditions: The permit will be emailed to the person submitting the application. "In some instances permissions and permits may be issued with conditions." DEC does not charge fees to assess applications or to provide permissions or permits.

Amendment and cancellation: DEC can amend permits once issued. Requests to amend permits must be made via email to DECO@defence.gov.au. DEC cannot remove information from an existing permit; if the permit holder wishes to reduce the scope of an existing permit, the permit holder should advise DEC that the existing permit should be cancelled and submit a new application.

Customs integration for tangible exports: For physical exports of tangible goods controlled under the DSGL, the exporter must complete an Australian Customs Export Declaration Notice (Form B957). An Australian Customs Export Declaration Notice can be obtained on the Australian Border Force website. The exporter will need the DEC permission number to complete the Export Declaration Notice.

Source: Department of Defence – Permits Source: Department of Defence – Applications and pre-notification Source: Department of Defence – Application Process Source: Defence Trade Controls Act 2012, section 33 Source: Defence Trade Controls Regulation 2013

Australia’s methodology for determining whether goods, software, or technology are controlled under the Defence and Strategic Goods List (DSGL) was materially updated in 2024 with the release of the Defence and Strategic Goods List 2024 (F2024L01024), effective 16 August 2024. These changes were implemented alongside substantive amendments to the Defence Trade Controls Act 2012 (DTC Act) via the Defence Trade Controls Amendment Act 2024, with new DSGL offence provisions (sections 10A, 10B, 10C) taking effect from 1 September 2024, further influencing classification methodology and compliance triggers.

Structure and reading of the revised DSGL 2024: The DSGL continues to divide regulated items into Part 1 (Munitions List) and Part 2 (Dual-Use List), but the 2024 instrument incorporates clarifications, item renumbering, and expanded technical notes to align with recent international regime updates. As before, Part 2 is organized into ten categories (0–9), each with subcategories A–E. Definitions, notes, and “Nota Bene” form an integral part of control text per Division 4. The 2024 revision particularly clarifies catch-all concepts for technology and removes ambiguity around “principal element” determinations. Where chemicals are listed, the text reinforces coverage of all variants fitting the structural formula, not strictly those matching the listed CAS number.

Key 2024 changes impacting self-assessment:

• The 2024 DSGL instrument includes expanded and re-structured controls (notably to Categories 1, 3, 4, 5 and 9) and clarifies scope of items subject to licensing versus exemptions. Practitioners must consult the 2024 list directly, as DSGL 2021 and prior numbering is now obsolete.
• The DSGL General Technology Note (GTN) is further clarified to state that technology for the “development,” “production” or “use” of controlled goods remains under control throughout its lifecycle, and the standing exemptions (public domain, basic scientific research, patent purposes) are re-emphasized.
• The Explanatory Statement (2024) extensively details the intent and scope of each change and is now a core reference for interpretative questions.

Compliance methodology updates:

• The DTC Act, as amended, introduces new supply and service offences (sections 10A–10C) that specifically turn on whether an item or technology is “DSGL” classified. For example, supply within Australia to a “foreign person” (s 10A), re-supply ex-Australia offshore (s 10B), and in-country provision of services relating to DSGL technology (s 10C) now all require correct, contemporaneous DSGL classification based on the 2024 list.
• The self-help MADE portal remains the recommended tool for exporters, but its logic, help texts, and cross-references have been updated to mirror the 2024 DSGL and new AUKUS/“exempt foreign person” regimes. Classification methodology for AUKUS-related licence-free exports should also now cross-check against AMSP item exclusions and new notification requirements.

Exemptions and catch-all:

• While public domain, basic research, and patent filing exemptions continue as stated in prior versions, their scope and DSGL cross-references are reset to the 2024 baseline.
• Catch-all controls—Customs Act s 112BA and WMD Act 1995—still trigger even for non-DSGL items but are not changed by the DSGL 2024 update; exporters must, however, apply updated definitions and references.

Practical steps:

• Always classify against the DSGL 2024 instrument effective 16 August 2024 and cross-reference the Explanatory Statement to resolve gray areas.
• Confirm that self-assessment methodology reflects all new DSGL categories and technical notes, and that any system/portal tools (e.g., MADE) are using up-to-date crosswalks and help text.
• For novel, borderline, or significantly re-defined items, seek classification advice from Defence Export Controls or request a formal classification assessment if uncertainty remains post-2024 update.

Notable effective dates:

• DSGL 2024 instrument: in force 16 August 2024
• New DTC Act offences/supporting compliance structure: applicable from 1 September 2024

Source: Defence and Strategic Goods List 2024, F2024L01024 Source: Explanatory Statement to Defence and Strategic Goods List 2024 Source: Defence Trade Controls Amendment Act 2024 Source: Department of Defence – Defence and Strategic Goods List

Australia's export-control regime imposes criminal penalties for violations of the Defence Trade Controls Act 2012 (DTC Act) and the Customs Act 1901, alongside administrative enforcement mechanisms including voluntary disclosure, infringement notices, and permit revocation. Penalties are calibrated to the severity of the breach and the nature of the controlled item.

## Criminal offences and maximum penalties under the DTC Act

The DTC Act establishes criminal offences for unauthorised supply, publication, brokering, and provision of services relating to DSGL goods and technology. The principal offences carry a maximum penalty of imprisonment for 10 years or 2,500 penalty units, or both. This maximum penalty applies to offences under:

• Section 10: supply of DSGL technology from a place in Australia to a place outside Australia, or publishing DSGL technology from Australia with the intention of making it available to persons outside Australia, without a permit or in contravention of a permit condition or a Ministerial prohibition notice under section 14;
• Section 10A: supply of DSGL technology at a place in Australia to a foreign person who is not an exempt foreign person (the "deemed export" offence), without a permit or in contravention of a permit condition or prohibition notice;
• Section 10B: supply of DSGL goods or DSGL technology by a person outside Australia, where the goods or technology have been exported or supplied from Australia, and the person knows or is reckless as to whether the export or supply was from Australia;
• Section 10C: provision of DSGL services relating to Part 1 of the DSGL to a foreign person outside Australia.

Sections 10A, 10B, and 10C were inserted by the Defence Trade Controls Amendment Act 2024, which received assent on 8 April 2024. Pursuant to item 47 of Schedule 1 to the Amendment Act, sections 10A, 10B, and 10C apply to conduct occurring on or after "the start day," defined as the day after the end of the period of 6 months beginning on commencement (1 September 2024)—that is, 1 March 2025. A compliance transition period applied from 1 September 2024 to 1 March 2025; from 1 March 2025, the full penalty provisions for these new offences are in effect.

Penalty unit conversion: The Department of Defence states that as of 2025, "those prosecuted for new offences may face a penalty of up to 10 years imprisonment or a fine up to 2,500 penalty units ($782,500)." The dollar value of a penalty unit is set by section 4AA of the Crimes Act 1914 and is indexed annually on 1 July. The specific 2025 dollar amount cited by DEC ($782,500) implies a penalty unit value of $313.00, though the authoritative conversion is prescribed in the Crimes Act 1914 and updated by legislative instrument each financial year.

Permit condition breach: Breach of a condition on a permit issued under the DTC Act is an offence under section 13 of the DTC Act, carrying a penalty of 60 penalty units. Section 13(2) provides that an offence against subsection (1) is an offence of strict liability under section 6.1 of the Criminal Code.

False or misleading statements: Under section 136.1 of the Criminal Code Act 1995, any person who makes a false or misleading statement in an application for a permit or certificate commits an offence.

## Customs Act offences — tangible exports

For physical exports of tangible DSGL goods, the Customs Act 1901 and Regulation 13E of the Customs (Prohibited Exports) Regulations 1958 prohibit export without a permit. Exporting goods without the required permission is an offence under section 233BAB of the Customs Act 1901. The Department of Defence states that such an offence "can attract a penalty of up to A$450,000 and/or imprisonment for up to 10 years." Section 233BAB references penalties for strict-liability and fault offences in relation to prohibited exports; the maximum penalties are specified in the Customs Act for these offence types.

## Administrative enforcement tools

Voluntary disclosure: Defence Export Controls encourages voluntary disclosure if a person suspects non-compliance with export-control obligations. Defence states: "If there is a suspicion of non-compliance, a voluntary disclosure must be made." A voluntary disclosure may be made to DEC by email to DECO@defence.gov.au. Voluntary disclosure is a key element in Defence's proactive compliance approach and may influence the enforcement response.

Infringement notices and penalties: A breach of a permit under the three new permit types introduced by the Defence Trade Controls Amendment Act 2024 (sections 10A, 10B, 10C) can result in serious penalties, ranging from issuance of infringement notices through to criminal prosecution. Defence states: "Breaching export controls is a criminal offence that in certain circumstances may result in severe penalties (including prosecution) being applied."

Permit revocation and amendment: Under section 12 of the DTC Act, the Minister may vary or revoke a permit. Section 112B of the Customs Act 1901 provides for the invalidation of a licence, permission, or consent for false or misleading information. A permission may be revoked at the discretion of the Minister for Defence; in such event, the procedures outlined in section 112(2AB) of the Customs Act 1901 apply.

Ministerial prohibition notices: The Minister for Defence may issue prohibition notices under section 14 of the DTC Act prohibiting a person from supplying particular DSGL technology if the Minister reasonably believes the supply would prejudice Australia's security, defence, or international relations. Supply in contravention of a prohibition notice is itself a criminal offence under the relevant section of the DTC Act. Similarly, under section 112BA of the Customs Act 1901, the Minister may give notice prohibiting a person from exporting goods (whether or not on the DSGL) to a particular place or particular person if the Minister suspects on reasonable grounds that the goods would or may be for a military end-use that would prejudice the security, defence, or international relations of Australia. Under section 112BC, the Minister must cause a statement to be tabled in each House of Parliament within 15 sitting days after giving a prohibition notice under section 112BA.

## Record-keeping obligations

Exporters are required to maintain records for five years from the date of exportation under the Customs Act 1901. Permit holders should retain all documentation supporting permit applications, supporting documents provided to Defence Export Controls, and records of all actual exports or supplies made under a permit. Reporting conditions are frequently applied to export approvals covering multiple shipments; exporters are required to submit regular reports detailing the exports (including nil returns) made under the permission.

## Compliance principles and approach

Defence Export Controls administers the export-control regime under a proactive regulatory model. Defence states: "Defence promotes proactive regulation. This is done by providing education and tools that emphasise the benefits of compliance and ethical corporate behaviour." Defence recommends that regular, large-scale, or sensitive technology exporters implement an Export Control Compliance Program. Voluntary disclosure and self-reporting are encouraged to manage risk and demonstrate due diligence.

Sanctions overlay: Export activities may also be subject to United Nations Security Council sanctions or Australian Autonomous Sanctions administered by the Australian Sanctions Office (within the Department of Foreign Affairs and Trade). The Department of Defence notes: "Please note that an export may be subject to United Nations Security Council or Australian Autonomous Sanctions. More information on sanctions, including non-compliance with sanctions, is available on the Department of Foreign Affairs and Trade website." Non-compliance with sanctions is regulated separately from export controls.

Source: Defence Trade Controls Act 2012, sections 10, 10A, 10B, 10C, 13 Source: Defence Trade Controls Amendment Act 2024, Schedule 1 item 47 Source: Customs Act 1901, sections 112BA, 112BC, 233BAB

Australian export-control law imposes obligations on exporters to assess end-use and end-user risks for goods, technology, or services potentially diverted to WMD programs or military end-uses. This is grounded in the Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (WMD Act) and the "catch-all" Military End-Use (MEU) provision in Customs Act 1901, s. 112BA. Both operate independently of the DSGL and can prohibit exports of otherwise-uncontrolled items.

WMD Act (catch-all): The WMD Act applies even to non-DSGL items. Section 9 prohibits supply of goods if the exporter "believes or suspects" they may be used in a WMD program; s. 10 applies to export; s. 11 covers services. "WMD program" (s. 3) is broadly defined, including components, precursors, and delivery means. The mental element is "belief or suspicion" by the exporter. If red flags emerge (e.g., end-user is in a high-risk jurisdiction or technical capacity mismatches the stated end-use), exporters are advised to submit an application to Defence Export Controls. Ministerial prohibition (s. 14) and permits (s. 13) exist for exceptions. Scope extends to Australian entities acting overseas. Source: Weapons of Mass Destruction (Prevention of Proliferation) Act 1995

Military End-Use (MEU) catch-all (Customs Act 1901, s. 112BA): The Minister for Defence may prohibit export of tangible goods (even if not DSGL-listed) where there is reasonable suspicion of military end-use contrary to Australia's security or international position. The definition of "military end-use" embraces both state and non-state armed groups. A prohibition notice must state reasons (subject to security caveat), and breach carries penalties: up to 10 years' imprisonment or 2,500 penalty units. Documentation and assessment often involve ABF referral to Defence Export Controls. Source: Customs Act 1901

Due diligence and red flag screening: Defence Export Controls (DEC) guidance instructs exporters to screen consignees, end-users, and collaborating entities for risk that goods or technology might be misused. Steps include: verifying technical consistency with stated use, confirming legitimate business background, assessing country risk (esp. sanctions, WMD programs), and identifying control/ownership by military or intelligence entities. DEC's best-practice guidance urges written compliance procedures (Export Control Compliance Program: ECCP) and recommends voluntary disclosure if suspicions arise (via DECO@defence.gov.au). Source: Department of Defence — WMD Act guidance Source: Department of Defence — Best practice measures

Sanctions overlay: Parallel prohibitions under UN Security Council or Australian Autonomous Sanctions (DFAT) may apply, using the Consolidated List. Breach of sanctions is prosecuted under specialised sanctions statutes, separate from DTC Act, Customs Act, or WMD Act.

Authority layers:

• Permit decisions must consider regulatory criteria (reg. 8 of DTC Reg 2013) including WMD and end-use risk. Delegated decisions go to the Minister if risk is found.

Source: Defence Trade Controls Regulation 2013

All previously cited departmental sources have been relinked to current URLs as of 2024-06-16.

Australia’s Defence Trade Controls Act 2012 (DTC Act) regulates not only export of military and dual-use goods, technology, and services, but also their in-country transfer and the brokering of their movement between third parties—an area substantially revised by the Defence Trade Controls Amendment Act 2024.

In-country transfer (the "deemed export" rule, s. 10A): Section 10A (commencing 1 March 2025) makes it an offence to supply DSGL technology or goods in Australia to a "foreign person" unless the supply is to an "exempt foreign person" or covered by a permit (DTC Act s. 10A). The Act defines a "foreign person" (s. 4) as anyone who is not an Australian citizen or permanent resident, and for bodies corporate, those not incorporated in Australia. "Exempt foreign person" is specifically defined in s. 4A, as inserted by the 2024 Amendment, and includes persons or entities covered by Australia’s defence trade cooperation treaties, such as those with the US and UK—but practitioners should check current regulations for any limits or carve-outs. The rules apply regardless of physical export: if, for example, DSGL-controlled software is transferred electronically to a foreign national physically present in Australia, this triggers the requirement.

Covered activities: "Supply" is broadly defined (s. 4), encompassing electronic transmission, physical handover, or provision by other means—such as presentations or database access inside Australia. The new section 10B also covers certain offshore activities by persons outside Australia if they knowingly supply DSGL goods or technology previously exported from Australia (s. 10B, as amended in 2024).

Brokering (Part 3, ss. 15–16): Any person in Australia, or any Australian citizen, resident, or corporate entity anywhere in the world, must not engage in brokering DSGL munitions items (Part 1 of the DSGL) without a permit (s. 15). "Brokering” (defined in s. 14) is arranging transactions or the actual transfer of these goods, between any parties, not limited to Australian exports. Permit conditions and the process (with applications via the My Australian Defence Exports, MADE, portal) are governed by Part 3 and detailed in the Defence Trade Controls Regulation 2013 (esp. reg. 8 for assessment criteria).

Penalties: Violating in-country transfer or brokering controls is punishable by up to 10 years’ imprisonment or 2,500 penalty units (ss. 10A, 15, 16). Practitioners should confirm the current value of a penalty unit under Crimes Act 1914 s. 4AA, as this is indexed.

Source: Defence Trade Controls Act 2012 (as amended) Source: Defence Trade Controls Amendment Act 2024 Source: Defence and Strategic Goods List 2024

Several explicit statutory and regulatory licence exceptions and general exemptions are built into Australia’s Defence Trade Controls Act 2012 (DTC Act), as amended most recently by the Defence Trade Controls Amendment Act 2024 and the Defence Trade Legislation Amendment (Defence Trade Controls) Regulations 2024. Knowing the precise scope, conditions, and citations for these exemptions is essential—especially as expanded controls and exemptions commence 1 March 2025 (per DTC Amendment Act 2024, s. 2, item 4).

1. AUKUS/Exempt Foreign Person exemption The 2024 Amendment inserted s. 5A of the DTC Act, empowering regulations to specify “exempt foreign persons.” Regulation 5 of the Defence Trade Legislation Amendment (Defence Trade Controls) Regulations 2024 now designates certain listed entities and personnel of the United States and United Kingdom as “exempt foreign persons.” Section 10A (deemed export), s. 10 (overseas supply), s. 10B (overseas supply out of Australia), and s. 10C (services out of Australia) do not require a permit if the recipient qualifies as an exempt foreign person under the regulation—subject to regulatory exclusions (see Schedules 1 & 2 of the Amendment Regulation). Sensitive DSGL items (e.g., nuclear, cryptographic, some munitions) and certain end-uses remain excluded; the lists of covered entities and carve-outs are detailed and must be reviewed in the regulation.

2. Five Eyes and other allied ‘deemed export’ carve-outs For supplying DSGL technology to foreign nationals in Australia (s. 10A), the 2024 amendments and the regulation relax some requirements for Five Eyes nationals (US, UK, Canada, NZ). Regulation 7(3) of the new Regulation specifically provides that for technology supplied to an exempt foreign person, only minimal information on the end user’s citizenship is required in the application process. However, this is not a blanket exemption and parties should check both the regulation and the applicable list (Schedule 1 of the 2024 Amendment Regulation).

3. Public domain exception (Regulation 10, DTC Reg 2013) Provision of DSGL technology already in the "public domain” is not controlled. Regulation 10 defines public domain as technology made generally available without restriction, by means such as publication or open conference. (Category 0—nuclear—technology is not covered by this exception; DTC Reg 2013, Reg 10(2)).

4. Basic scientific research (Schedule 2, DTC Reg 2013) Technology that is the result of “basic scientific research” intended for public dissemination is exempt. Schedule 2 provides that if the result of scientific work is not subject to restrictions for security or defence, it is not controlled technology under the DSGL, except for designated nuclear technology (Reg 11, DTC Reg 2013).

5. Patent application exception (Regulation 11, DTC Reg 2013) Supplying DSGL technology solely for the purpose of seeking a patent (including filings in Australia or overseas) is exempted, provided the disclosure is strictly necessary for this activity.

Limits and preclusions: Exemptions do not apply where: (1) items, recipients, or end uses fall under regulations exempting them from the general exemption (e.g., Schedule 2 of Regulation F2024L00682); (2) the items are nuclear technology under Category 0 DSGL; (3) a Ministerial prohibition applies; or (4) the activity would breach sanctions acts (e.g., Charter of the United Nations Act 1945).

Effective date: The new exemptions, including the expanded “exempt foreign persons” regime, are effective for conduct on or after 1 March 2025 (DTC Amendment Act 2024, s. 2(1), item 4).

Source: Defence Trade Controls Act 2012 (consolidated) Source: Defence Trade Controls Amendment Act 2024 Source: Defence Trade Legislation Amendment (Defence Trade Controls) Regulations 2024 Source: Defence Trade Controls Regulation 2013

Australian exporters subject to the Defence Trade Controls Act 2012 (DTC Act) and Customs Act 1901 must retain comprehensive records for at least five years from the date of export or activity, covering both permit-related and customs documentation.

Legal requirements—five-year retention:

• Section 15A of the DTC Act (inserted by amendment) requires every permit holder to keep "records in respect of activities conducted under the permit" for five years after the activity. This includes copies of permits (and variations), supporting technical and end-user documentation, correspondence with Defence Export Controls (DEC), and details of actual exports or supplies. (DTC Act s. 15A)
• For tangible (physical) exports, section 240 of the Customs Act 1901 requires holders of a permission or licence (including export permits) and people who lodge export declarations to "keep, for not less than 5 years after the goods were exported," all documents required for export. This includes permissions, invoices, airway bills, packing lists, classification records, and supporting customs documentation. (Customs Act 1901 s. 240)

Operational guidance—DEC compliance expectations:

• The Department of Defence (DEC) states: "You must keep all documents related to your application and permit for five years." This operational principle extends to agents, brokers, and permit holders alike. DEC may initiate audits, request documentary evidence, or check compliance with permit conditions and exemptions. (DEC—Compliance guidance)
• DEC permits electronic record storage, provided records are "full, clear, and readily accessible." This is agency operational policy, not a statutory prescription. (DEC—Compliance guidance)

Compliance and enforcement:

• Failure to produce records on request is grounds for administrative action or investigation of underlying breaches, though neither the DTC Act s. 15A nor Customs Act s. 240 set standalone criminal penalties for missing records as such. Instead, incomplete records may expose a company to sanctions where other breaches are identified.
• DEC regularly audits exports for compliance. Audit triggers include voluntary disclosures, intelligence or trade data anomalies, or routine monitoring. (DEC—Compliance guidance)

Note: While best practice is to ensure records persist after a merger or acquisition, neither DTC Act s. 15A nor the main operational guidance makes this a statutory requirement—the practical obligation is to ensure whichever entity holds the permit maintains required records for the full period.

Source: Defence Trade Controls Act 2012, s. 15A Source: Customs Act 1901, s. 240 Source: Department of Defence – Compliance obligations and requirements

Defence Export Controls (DEC), the unit within Australia's Department of Defence responsible for export-control administration, conducts audits and compliance inspections to monitor permit compliance under the Defence Trade Controls Act 2012 (DTC Act) and related regulations. DEC’s authority to request records and inspect compliance stems from section 15A of the DTC Act and section 240 of the Customs Act 1901. These statutes require permit holders to keep and produce records related to export-controlled activities for five years. DEC’s published compliance guidance outlines in broad terms the agency’s approach to audits and compliance checks.

Audit triggers (public guidance): According to DEC’s public statements, the selection of exporters for compliance checks is based on both proactive and reactive factors. These include routine or random sampling of permit holders, instances where voluntary disclosures of suspected non-compliance are made by companies or universities, and referrals from Australian Border Force (ABF) based on anomalies in trade data or consignment screening. Applications for complex or sensitive projects, as well as follow-up on previous compliance issues, are also identified in DEC’s compliance materials as priorities for review. While intelligence from other agencies or “red flags” for proliferation risk may inform risk selection, not all operational triggers are made public.

Scope and process: DEC’s compliance page highlights that an inspection may include requests for all documentation related to permit applications, exports (physical or intangible), end-user screening, reporting, and correspondence with ABF or Defence. DEC may also undertake site visits to a permit holder’s physical premises or request demonstration of compliance processes (for example, recordkeeping, classification methodology, and access controls on DSGL technology). During a compliance review, exporters must supply requested documents as required by s. 15A of the DTC Act and s. 240 of the Customs Act. The timeframe for production is not specified in statute or public guidance, so exporters should respond promptly and maintain a designated compliance contact for DEC notices.

Findings and remediation: If a compliance check reveals minor deficiencies (such as incomplete records), DEC’s guidance indicates the agency will generally require remediation and may conduct follow-up checks to ensure corrective measures are implemented. Serious or repeated breaches (e.g., unlicensed export or provision of false or misleading records) may result in referral for administrative penalty or criminal prosecution. DEC’s public materials clarify that voluntary disclosures of suspected non-compliance—if made in good faith—are treated as mitigating factors in enforcement response. The agency emphasises cooperative engagement and states that it will attempt to resolve procedural lapses through administrative means before escalating to enforcement.

All exporters subject to the DTC Act or Customs Act should ensure records and compliance programs are up to date, accessible, and able to demonstrate controls and permit adherence if inspected. DEC audits and guidance may evolve, so exporters should monitor current agency policies and compliance pages for updates.

Source: Defence Trade Controls Act 2012, s. 15A Source: Customs Act 1901, s. 240 Source: Department of Defence – Compliance

Australia's Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (the WMD Act) establishes a dedicated regime for controlling exports—goods, technology, and services—with a real or suspected connection to WMD (nuclear, chemical, biological) programs. The scope of the WMD Act is deliberately broad and operates independently of the Defence and Strategic Goods List (DSGL): even if an item is not listed on the DSGL or covered by standard export controls under the Defence Trade Controls Act 2012, it may still be regulated if "a person believes or suspects" it might be used in a WMD program.

Key triggers and prohibitions

• Under sections 9–11, the Act prohibits the export, supply, or provision of services relating to any goods or technology if the exporter (individual or company) believes or suspects that the goods or services will or may be used in a WMD program.
• The prohibitions apply equally to physical exports, intangible transfers (such as technology by email or digital file), and to services that might facilitate such use (including training, repair, or design work).
• "WMD program" is defined to include any scheme for development, production, acquisition, or stockpiling of nuclear, chemical, or biological weapons or the means of delivery (e.g., missile technology). Notably, this includes activities supporting delivery systems and precursor elements, not just finished weapons.

Ministerial permits and prohibition notices

• Section 13 provides that the Minister for Defence may issue a permit authorizing exports or services that would otherwise breach the Act, if satisfied the activity is not contrary to Australia's international or treaty obligations, or the national interest.
• Under section 14, the Minister has powers to issue prohibition notices if there are reasonable grounds for concern, with criminal penalties for breach.

Extra-territorial and personal scope

• The WMD Act applies to Australian citizens, permanent residents, and Australian-incorporated companies, regardless of where the conduct occurs—even outside Australia (sections 15–17).
• It also binds foreign nationals and companies if the conduct occurs inside Australia.

Penalties

• A breach of the main prohibitions can carry criminal penalties including up to 10 years' imprisonment.

Practical compliance takeaway

• Australian exporters and technology providers must undertake due diligence not just on DSGL-listed goods, but for any export transaction where there are red flags or credible risks of WMD involvement.
• The Department of Defence urges prompt contact and voluntary disclosure if an exporter suspects possible WMD end-use in any transaction, even if the goods, technology or services are not otherwise controlled.

Source: Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 Source: DFAT—Nuclear Export Controls

All physically exported items listed on the Defence and Strategic Goods List (DSGL) or otherwise subject to Defence Export Controls must not only be authorised under a valid permit issued by the Department of Defence — but that permit number must also be correctly declared to the Australian Border Force (ABF) in the export declaration. Exporters must reflect that compliance in their customs declaration to secure clearance.

Under the Customs Act 1901, section 113 mandates that an export declaration (entry for export) must be lodged, and section 114(5) treats proper identification of an export permit in the information communicated as equivalent to production of that permit to Customs — but does not relieve officers of the right to request the actual permit if doubts arise.

ABF’s “Types of export” guidance confirms that software or goods listed on the DSGL require a valid Permit Number in the export declaration, even if the items are intangible software on physical media.

Therefore, a compliance checklist for practitioners:

• Confirm DSGL status of goods with Defence Export Controls (DEC).
• Ensure permit number is included in the export declaration; absence results in “not in compliance”.
• Lodge the declaration via Integrated Cargo System (ICS) or paper Form B957, depending on modality.
• Attain an Export Declaration Number (EDN) with “Clear” status — that status functions as the authority to deal with goods via ABF.
• Understand that missing or incorrect permit data may trigger authority-withdrawal or a refusal to deal under section 114C of the Customs Act.

Failing to include the permit properly exposes the exporter to customs refusal, forfeiture risk, and potentially prosecution under the Customs Act.

Source: Customs Act 1901 Source: ABF – Types of export Source: ABF – ICS Export Declaration Messaging

When the Minister for Defence (or their delegate) refuses to grant an export permit, imposes permit conditions, or otherwise makes a “reviewable decision” under the Defence Trade Controls Act 2012 (DTC Act), exporters may challenge that decision through a defined review process. The right to review is a critical compliance safeguard and allows for both administrative reconsideration and formal legal appeal.

1. Internal review by the Minister Part 7 of the DTC Act (sections 63–64) sets out the initial process. If a person is affected by a “reviewable decision” (see s. 63), they may within 28 days after being given notice of the decision, request the Minister to review it. The request must be in writing and specify the reasons for seeking review. On review, the Minister may confirm, vary, or revoke the original decision (s. 64). The Act obligates the Minister (or their delegate) to reconsider the material and any new evidence provided. The Minister must notify the applicant of the outcome of the review and the reasons.

2. Administrative Appeals Tribunal (AAT) review If unsatisfied with the outcome, the applicant may apply to the Administrative Appeals Tribunal for external review (s. 65). The application must be made within 28 days of receiving the Minister’s review decision or within a further period allowed by the AAT. The AAT conducts a merits review; it is not limited to legal error but can substitute a fresh decision. Note that certain decisions (especially those related to national security) may be excluded from AAT review by Ministerial certificate, or details may be withheld under ss. 66–68 if disclosure poses risk to Australia’s security, defence, or international relations.

3. Practical steps for applicants Exporters seeking review should: (1) promptly lodge a written request for Ministerial review within the statutory period; (2) provide any additional material, technical information, or legal argument that may support reconsideration; and (3) if proceeding to the AAT, follow the application steps on the AAT’s website, referencing the relevant legislative right.

Authority and guidance:

• Ministerial review and AAT rights: DTC Act ss. 63–68.
• Defence Export Controls maintains guidance on administrative review but refers applicants to the official legislation for timeframes and scope.

Source: Defence Trade Controls Act 2012, Part 7 (ss. 63–68)

Australia’s Defence Trade Controls Act 2012 (DTC Act), as amended in 2024, creates a discrete category: “Australian Military Sales Program (AMSP) items.” Under section 5AA of the DTC Act, the Minister for Defence may, by legislative determination, specify DSGL goods or technology as AMSP items—a designation that places them outside streamlined AUKUS licence-free export pathways applicable to most US/UK shipments.

The principal instrument is the Defence Trade Controls (Australian Military Sales Program item) Determination 2024 (F2024L01020), effective 1 September 2024. AMSP status restricts the ability to rely on broad national exemptions or streamlined procedures otherwise available under amendments supporting the AUKUS partnership. For example, if a good or technology appears on the AMSP list, export, supply, in-country transfer, brokering, and service provision involving US/UK parties cannot use AUKUS permit-free pathways—even if all other requirements are satisfied. Instead, a permit from Defence Export Controls (DEC) must be sought. The Determination sets out exhaustive schedules of items and is periodically amended. Practitioners must check the most current list, as AMSP status can significantly alter compliance requirements.

Rationale: The AMSP exclusion is primarily intended for items where Australia retains sovereign control—often including surplus Defence articles, uniquely Australian-militarised versions of otherwise commercial technology, or capability that requires Australia-unique security arrangements. AMSP designation is a compliance red-flag: an item that is both on the DSGL and also on an AMSP schedule invokes tighter permit requirements, heightened scrutiny, and precludes reliance on most exemptions under the DTC Act or Defence Trade Legislation Amendment Regulations 2024.

To identify AMSP status, practitioners should: (1) confirm the current Defence Trade Controls (Australian Military Sales Program item) Determination on legislation.gov.au; (2) cross-check the relevant DSGL heading and subcategory; and (3) confirm that no other carve-outs or exclusions permit streamlined treatment under AUKUS.

Effective date: The 2024 Determination commences 1 September 2024. All exempt-foreign-person and AUKUS-related controls must be read subject to AMSP designation from that date. Failure to comply results in the full spectrum of criminal and administrative penalties under the DTC Act.

Source: Defence Trade Controls Act 2012, s. 5AA Source: Defence Trade Controls (Australian Military Sales Program item) Determination 2024, F2024L01020

Exporters claiming the AUKUS national exemption for most Defence and Strategic Goods List (DSGL) items exported to approved US/UK parties must pre-notify every shipment using the My Australian Defence Exports (MADE) portal, as required from 1 March 2025 under the Customs (Prohibited Exports) Regulations 1958 (regulation 13E, as amended) and the Defence Trade Controls Act 2012 (DTC Act, as amended in 2024). The AUKUS licence-free regime removes the standard permit requirement for DSGL goods and technology supplies to "exempt foreign persons," but only where pre-notification steps are followed for each relevant shipment or intangible transfer.

What triggers the pre-notification requirement? Regulation 13E requires pre-notification for tangible exports of DSGL goods to the United States or United Kingdom under the national exemption framework. For intangible exports (including supply by email or network access), the parallel requirement is triggered by s. 10 of the DTC Act, as altered by the Defence Trade Controls Amendment Act 2024. In both cases, the exporter must supply advance notice to Defence Export Controls (DEC) before the export occurs, through the MADE portal.

What must pre-notification include? The required information is set out in regulation 13E(9) and further explained in DEC guidance. Statute and regulation require, at a minimum:

• A description of the DSGL goods, technology or services;
• The classification and control category of the DSGL items;
• The identity of the recipient and confirmation of their status as an “exempt foreign person” (per the Defence Trade Legislation Amendment (Defence Trade Controls) Regulations 2024 and related schedules);
• The intended end-use and end-user; and
• The date and mode of transfer.

DEC guidance further recommends recording the unique MADE portal reference and retaining evidence of notification. (See DEC—Compliance requirements.)

AMSP carve-out and exclusions: If an item is designated as an Australian Military Sales Program (AMSP) item under s. 5AA of the DTC Act (see the Determination in force), it is carved out and cannot be exported under the AUKUS licence-free exemption—even where pre-notification would otherwise apply. AMSP exclusion status should be checked in parallel to the exempt recipient list for every shipment.

Consequences for non-compliance: If the required pre-notification is not made, the export takes place outside the AUKUS exemption regime and is subject to standard permit requirements and associated penalties for unlicensed export under the DTC Act or Customs Act. The regulations do not expressly permit post-export voluntary disclosure to remedy a missed pre-notification; authoritative guidance is silent as of 2026-06-16. Retention of evidence (e.g., MADE reference and submitted information) for five years is required under DTC Act s. 15A.

Effective date: These obligations are in force for conduct from 1 March 2025. Exporters should monitor for further updates or operational changes on the DEC website.

Source: Customs (Prohibited Exports) Regulations 1958, Reg 13E Source: Defence Export Controls – Compliance requirements

Australia’s export controls on cryptographic goods, software, and technology are principally contained in Category 5, Part 2 of the Defence and Strategic Goods List 2024 (DSGL, F2024L01024), effective 1 September 2024. This section implements Wassenaar Arrangement controls obliging Australian exporters to obtain a permit for overseas transfer, supply, publication, or brokering of covered information security items—unless a statutory exemption applies.

What is controlled? Category 5, Part 2 regulates:

• “Systems, Equipment and Components” (5A002): hardware that uses, incorporates, or enables cryptography for information confidentiality, integrity, or authentication.
• “Software” (5D002): specifically designed or modified for the development, production, or use of controlled hardware.
• “Technology” (5E002): required for the development, production, or use of such equipment or software.

Intangible transfers (e.g. email, remote cloud access) are regulated as “supply” or “publication” (DTC Act ss. 10–10A; DSGL s. 3.9, General Technology Note).

Exemptions in DSGL text:

• Mass-market exemption (Note 3 to Cat 5, Part 2): This removes many retail IT products from control if all the following DSGL criteria (verbatim) are met:
• "Generally available to the public by being sold from stock at retail selling points, without restriction, by means of:

(a) over-the-counter transactions; (b) mail order; (c) electronic transactions; or (d) telephone call;"

• "The cryptographic functionality cannot easily be changed by the user and is designed for installation by the user without further substantial support."
• "Details of the items regarding use of cryptography are not designed or customized for specific users."

(DSGL 2024, Note 3, Category 5, Part 2, Section 3.11.3)

• Ancillary cryptography (Note 4): Software or equipment where cryptography is not the primary function is excluded only if:
• “The primary function is not information security, and the cryptography cannot be user-accessed except for the item’s function” (e.g. anti-copy DVD players). (DSGL 2024, Note 4, Cat 5, Pt 2, s. 3.11.4)

• Specific exclusions: Items “for government or military end-use” or that are custom-modified are commonly excluded from these exemptions. The DSGL’s Note 5 and the relevant paragraphs expressly carve out government/defence-unique tech and classified items.

Practical compliance: Export and supply of controlled cryptographic items without a permit is generally an offence unless a DSGL Note applies. DSGL text must be checked directly; Defence Export Controls (DEC) publishes guidance but the legislative instrument is controlling. The core test: does the item meet every element of the relevant Note for exemption? If not, a permit is required for export, supply, or publication—even for intangible supply via electronic or cloud means.

Effective: 1 September 2024 (see F2024L01024). Always confirm current text for carve-outs and definitions.

Source: Defence and Strategic Goods List 2024, Category 5, Part 2 Source: Department of Defence — Defence and Strategic Goods List overview