Ecs Policies

7/31/2019 Ecs Policies

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External Container Scheme


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OPERATIONAL PROCEDURES STATEMENTS GENERAL POLICIES

TABLE OF CONTENTS

1PURPOSE ......................................................................................................................3

2TYPES OF AUDITS .....................................................................................................3

2.1Initial Audits ................................................................................................ 3

2.2Announced Audits ...................................................................................... 3

2.3Unannounced Audits .................................................................................. 3

2.4Reinstatement Audit ................................................................................... 3

2.5Review Period .............................................................................................. 3

2.6Audit Charging ............................................................................................ 4

3SURVEILLANCE .........................................................................................................4

4COMPLIANCE ACTION ...........................................................................................4

4.1Commencement Level ................................................................................ 5

4.2Review Periods and Audit Rates ...............................................................5

4.3Movement between Review Levels .......................................................... 5

5NON-CONFORMITY .................................................................................................5

5.1Non-conformity Classification .................................................................. 5

5.2Notification of a Non-conformity ..............................................................6

6SUSPENSION AND CANCELLATION .................................................................6

7APPEALS .......................................................................................................................6

8REVIEW .........................................................................................................................7

9ADDITIONAL MATERIALS TO BE READ IN CONJUNCTION WITH THIS

DOCUMENT ...........................................................................................................7

10AMENDMENTS ........................................................................................................7

External Container Scheme Page 2 of 8

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This document details how the Australian Quarantine and Inspection Service (AQIS) will:

1. Measure compliance with the requirements set out in the Schedule and theProcessesand Outcomes Documentfor theExternal Container Scheme

2. Assist the Other Party, after the detection of a non-conformity, to address matters ofquarantine concern, monitor performance, and to re-establish compliance

3. Receive and process appeals submitted by the Other Party

4. Review the Scheme contained within this Compliance Agreement.

The type of audit outlined below is designed to measure the performance of the Other Party

against the requirements stated in the Schedule and the procedures and outcomes stated in theProcesses and Outcomes Document.

2.1 Initial Audits

Initial audits are conducted to assess whether the Other Party meets the requirementsstated in the Schedule for theExternal Container Scheme. These audits may provideguidance to the Other Party in order to perform the procedures correctly, to achieve therequired outcomes of the Scheme. A prospective Other Party will be required to pass aninitial audit to become eligible to sign onto this Scheme.

2.2 Announced Audits

Announced audits will be scheduled by AQIS. AQIS will make contact with the OtherParty and arrange a convenient time and date for these audits. Announced audits willoccur in line with the prescribed audit rate for the Other Party.

2.3 Unannounced Audits

Unannounced audits will be undertaken by AQIS. These audits will occur in line withthe prescribed audit rate for the Other Party.

2.4 Reinstatement Audit

Reinstatement audits will be scheduled and conducted by AQIS following a period ofsuspension. AQIS will contact the Other Party and arrange a convenient time and datefor these audits.

If, during the reinstatement audit, a major non-conformity or equivalent is detected, thesuspension will continue and the Other Party will be asked to show cause as to why theirSchedule should not be cancelled.

If the reinstatement audit proceeds without the detection of any major non-conformitiesor equivalent, the Other Party will revert to the next review level.

2.5 Review Period

The review period is the time each review level is applicable for.


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2.6 Audit Charging

Audits will be charged on a fee for service rate by AQIS at the conclusion of a visit.Information regarding AQIS fees and charges and how they are determined is availableon the AQIS website at www.daffa.gov.au/fees/aqisfees-charges.

Where an AQIS Officer is required to ensure that the non-conformity has been rectified,

it may involve a visit to the premises for that specific reason which will be charged at feefor service rates.

Surveillance may be conducted by AQIS at the Other Partys premises. Details of anynon-conformity detected will be recorded and review levels for the Other Party adjustedaccordingly.

There are 5 review levels that apply to the Other Party.

The following table describes the review level, audit rate and review period for theExternal Container Scheme.

Table 1: Review Levels, Audit Rates and Review Periods

Review

LevelAudit rate Review Period

1 2 audits(1 announced, 1 unannounced)

1 year

24 audits

(2 announced, 2 unannounced)90 days

36 audits


4 8 audits


5Suspension and full AQIS

supervision90 days


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4.1 Commencement Level

The Other Party will commence this Scheme at Review Level 1 subject to meeting theprerequisites stated in the Schedule and passing an initial audit.

4.2 Review Periods and Audit Rates

Whilst the Other Party is operating at any review level above level 1 the relevant reviewperiod commences from the date of notification of a major non-conformity. If anothermajor non-conformity occurs during the applicable review period, the review level will

be increased immediately and the review period restarts. The referral rate applicable tothe increased review level also comes into effect immediately.

Any increase in the review level and therefore the referral rate immediately negates thespecified referral rates and review period applicable to the Other Party under the

previous review level.

4.3 Movement between Review Levels

Whilst the Other Party is operating at any of the specified review levels the detection ofa major non-conformity or equivalent will cause the Other Party to move to the nextreview level.

Whilst the Other Party is operating at review levels 2, 3 or 4 if no major non-conformities or equivalent are detected during the specified review period, the OtherParty will return to the previous review level.

5.1 Non-conformity Classification

Non-conformities may be classified in one of three (3) ways:

TYPE DESCRIPTION

CRITICAL

Non-conformity

A breach of the Quarantine Act 1908 (Cwlth), or a majorbreach of the responsibilities and/or the requirementsstated in the relevant Schedule and/orProcedures andOutcomes Document, resulting in immediate suspensionof the Schedule.

MAJOR

Non-Conformity

A breach of the procedures set out in the relevantProcedures and Outcomes Document, and/or failure tomeet the outcomes and responsibilities as described intheProcedures and Outcomes Document.

MINOR

Non-Conformity

Less serious breach of the procedures and/or failure tomeet the outcomes set out in the relevantProceduresand Outcomes Document.

Note: Two MINOR non-conformities equal a MAJORnon-conformity and

will result in an increase in review level.


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5.2 Notification of a Non-conformity

AQIS will notify the Other Party in writing, via a Corrective Action Request or formal letter,upon the detection of a non-conformity and advise the Other Party of subsequent complianceaction to be taken by AQIS.

In accordance with the Standard Terms the suspension of a Schedule may occur at any time.However, in general, suspension will occur once the Other Party reaches Review Level 5through the accumulation of non-conformities, or the Other Party incurs a critical non-conformity.

During the suspension period, AQIS will invite the Other Party to show cause as to why itsSchedule should not be cancelled. The Other Party should provide all information and evidenceto support its case, including details of their supervisory and counselling procedures used foraccredited persons to prevent the recurrence of non-conformities.

AQIS may seek further information or advice before making a decision to re-instate or cancel aSchedule.

Failure to comply with all quarantine directions may result in immediate suspension of theSchedule.

AQIS may, at its discretion, decrease the rate of review applicable to the Other Party based oninformation gathered at an audit or following the outcome of an appeal.

The Other Partys Schedule may be cancelled if:

on a reinstatement audit a critical non-conformity is incurred; or

there is a breach of the Quarantine Act 1908 (Cwlth).

Note: The accrual of a critical non-conformity may be deemed to be a failure by the OtherParty to comply with a requirement of the Schedule, and legal penalties may apply as stated inSection 66B(7) of the Quarantine Act 1908 (Cwlth).

Where the Other Party believes that the result of the formal audit/surveillance visit was

incorrect, due to AQIS failing to take in to account objective evidence or extenuatingcircumstances relating to a non-conformity, or due to misinterpretation of the compliance

policy, the Other Party may appeal against the decision.

The onus of responsibility to provide either objective evidence or proof of extenuatingcircumstance is on the Other Party, as to why it believes the result of the formalaudit/surveillance visit to be in error.

The Other Party must appeal in writing within 10 business days from the date of notification ofa non-conformity.

The Other Party should clearly set out its reasons for appeal.


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The Other Party should forward its appeal to the Co-regulation Administration and SupportProgram in writing at the following address:

National Compliance Agreement CoordinatorCo-regulation Administration and Support ProgramAustralian Quarantine and Inspection Service (AQIS)GPO Box 858CANBERRA ACT 2601

Fax: 02 6272 5888Email: [email protected]

AQIS undertakes to:

Acknowledge receipt of the appeal within two (2) business days of its receipt;

Make a decision on the appeal, in writing, within 10 business days of the receipt of allavailable facts relating to the matter.

Note: The AQIS appeals policy does not affect any right that a person may have to apply tothe Federal Court for a judicial review of the decision.

The Review date for the Schedule for each Scheme is stated within Section 8 of the Schedule.

AQIS reserves the right to assess and review the ongoing validity of compliance agreementsschemes at any time to ensure that the scheme continues to align with legislation, government

policy, and the relevant operating environment.

In addition, compliance agreement schemes are subject to periodic review to ensure the

continued effectiveness of the scheme in meeting both AQIS and industry needs. Signatories toa compliance agreement should note that a review of a scheme may not necessarily lead to arenewal process being undertaken.

AQIS will notify the Other Party of renewal procedures at least one (1) month prior to thereview date for the Schedule.

Compliance Agreement Standard Terms document

Compliance Agreement Generic glossary

Compliance Agreement ScheduleExternal Container Scheme

Compliance Agreement Processes and Outcomes Document (POD)ExternalContainer Scheme

The latest version of this document can be obtained from the Department of Agriculture,Fisheries and Forestry (DAFF) website at: www.aqis.gov.au/iccomplianceagreements.


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Table of Amendments

Date Section Details

June 2009 Document Reviewed and amended to be specific to the External

Container Scheme


June 2009

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