Service Delivery Arrangements for Export Certification of Dairy, Eggs, Fish and Poultry Meat

1. Purpose

This document describes the systems for service delivery arrangements that underpin DAFF Biosecurity export certification of product (dairy, egg, fish and poultry meat products) in accordance with export legislation and importing country requirements.

2. Policy Principles for Service Delivery Arrangements

Key principles that underpin the service delivery arrangements for export inspection for dairy, egg, fish and poultry meat are:

• DAFF Biosecurity remains the competent authority for provision of export certification.
• The export certification system is supported in legislation (Export Control Act 1982).
• Auditing for compliance with export legislation and importing country requirements may be managed by a State/Territory Government agency. The agency must enter into an arrangement with DAFF Biosecurity for this purpose.
• DAFF Biosecurity conducts verification of all systems that contribute to and underpin export certification. Verification activities are risk-based and/or performance-based.
• Recognition of national initiatives that support harmonisation of service delivery between state and federal agencies including:
• • National Food Safety Audit Policy (August 2006)
  • National Regulatory Food Safety Auditor Guideline (July 2009)1
  • National Enforcement Guideline (November 2009)
• Enforcement activities are undertaken by regulatory agencies and individuals that have the appropriate delegations.

3. Governance

The Food Export Regulatory Steering Committee is responsible for the governance of these Service Delivery Arrangements.

4. Service Delivery Options

Auditing compliance of establishments registered to export dairy, eggs, fish and poultry meat products with export requirements (including importing country requirements) may be provided by:

4.1 A State regulatory authority (SRA)
4.2 DAFF Biosecurity

4.2.1 DAFF Biosecurity directly
4.2.2 Approved auditors

4.1 State Regulatory Authorities

The Australian states and territories are responsible for domestic food regulation. The activities related to this obligation are supported by the relevant State legislation2 and standards3.

In addition to their domestic food regulatory functions, an SRA may enter into an arrangement with DAFF Biosecurity to provide defined service delivery functions for export dairy and/or eggs and/or fish and /or poultry meat products. Where an SRA and DAFF Biosecurity reach such an arrangement, the details obligations and responsibilities of DAFF Biosecurity and the SRA are contained in an agreement (such as Service Level Agreement or Memorandum of Understanding). Part 1 of Attachment 1 outlines these obligations and responsibilities. Part 2 covers the administration of such an agreement.

DAFF Biosecurity verifies the service delivery undertaken by states. Part 3 of Attachment 1 outlines the elements of a SRA system that are the basis of DAFF Biosecurity verification activities. Verification activities cover relevant elements of the SRA’s system, such as its audit management system and the auditor appointment process and programs, to ensure compliance with export legislation throughout the export supply chain. The primary production components are included where these are specific importing country requirements.

The level of compliance with the agreed service delivery elements will determine the scope and/or frequency of DAFF Biosecurity verification of an SRA. The criteria against which DAFF Biosecurity measures a SRA’s performance are stipulated in the Agreement.

Under the agreement, the SRA is responsible for the appointment and performance of auditors. Export auditors must:

• meet the appropriate competency level of the National Regulatory Food Safety Auditor Guideline; and,
• have supplementary knowledge of the relevant export requirements, including legislation and importing country requirements; and,
• hold current appropriate authorisation4 under the Export Control Act 1982.

SRAs must be able to demonstrate to DAFF Biosecurity that auditors of export establishments are competent and independent of the establishment/s being audited.

Under the arrangement, SRAs will provide assistance to DAFF Biosecurity for market access activities when required including supporting importing country reviews of relevant elements of the export inspection system.

4.2 DAFF Biosecurity

4.2.1 Auditing by DAFF Biosecurity officers

Where there is no agreement between DAFF Biosecurity and an SRA, DAFF Biosecurity may undertake regulatory audits of export registered establishments, or those parts of establishments that produce prescribed dairy, egg , fish or poultry meat products for export, using DAFF Biosecurity officers.

DAFF Biosecurity food regulatory auditors must:

• meet the appropriate competency level of the National Regulatory Food Safety Auditor Guideline; and,
• have supplementary knowledge of the relevant export requirements, including legislation and importing country requirements; and,
• hold current appropriate authorisation under the Export Control Act 1982.

The national audit management system will be used to administer auditing and inspection functions.

The level of compliance with the export requirements will determine the scope and/or frequency of DAFF Biosecurity audits of establishments and DAFF Biosecurity verification activities.

Note: Where an establishment produces for both export and the domestic markets, DAFF Biosecurity may enter into an agreement with the SRA to undertake food regulatory audits of the domestic processing on behalf of the SRA. A Memorandum of Understanding or similar document details the scope and responsibilities under the arrangement, including necessary authorisations under State legislation, communication and information sharing arrangements.

4.2.2 Auditing by Approved Auditors

Where DAFF Biosecurity is responsible for managing audits of export establishments, an establishment may apply to DAFF Biosecurity to have their export audits undertaken by Approved Auditors that are not employed by DAFF Biosecurity. This option is not available where DAFF Biosecurity has entered into an agreement with an SRA that manages the audit system.

Approval for an establishment to engage an Approved Auditor will be based on the establishment’s record of past performance.

Establishments that have approval to engage an Approved Auditor will have access to the Approved Auditor Register.

Auditors may apply directly to DAFF Biosecurity via an Approved Auditor application process. See information on this website regarding the auditor approval process.

Prospective Approved Auditors must demonstrate to DAFF Biosecurity:

• relevant competencies in auditing and food safety as per the National Regulatory Food Safety Auditor Guideline
• evidence of achieving competency and knowledge in relevant standards, including importing country and legislative requirement.

When a prospective auditor attains approval, DAFF Biosecurity will issue a Notice of Approval and may authorise the individual under the Export Control Act 1982.

The performance of the Approved Auditor is verified by DAFF Biosecurity. This may include witness audits at export establishments. The level of auditor competency will determine the scope and/or frequency of DAFF Biosecurity verification of an Approved Auditor.

Approved Auditors have appropriate access to the DAFF Biosecurity national audit management system. All relevant audit information is entered directly into this system.

Should an establishment wish to have an Approved Auditor conduct both its export and domestic audits, it must seek approval from the relevant SRA.

1 National Regulatory Food Safety Auditor Guideline PDF [262 KB]
2 Food Standards Australia New Zealand - Legal websites
3 Food Standards Australia New Zealand - Standards Code
4 The authority to authorise may be delegated to the SRA.

Attachment 1 - Service Delivery Framework

This attachment contains the framework of an agreement between DAFF Biosecurity and an SRA for an SRA to provide defined service delivery functions for export dairy and/or eggs and/or fish and /or poultry meat products.
The three parts that constitute this framework are:

1. Responsibilities of SRAs and DAFF Biosecurity
2. Administration of the agreement.
3. Components of the Arrangement to be documented by SRAs

Part 1 Obligations and Responsibilities for Service Delivery of Export Certification

Responsibilities and obligations

SRA

• Conducts audit functions for export establishments handling dairy and/or eggs and/or fish and /or poultry meat products, as specified in the agreement.
• • Ensures effective management of audit schedules to meet export requirements
  • Ensures that auditors have appropriate competencies for the audits they conduct.
  • Ensures export establishments comply with export and importing country requirements as applicable to their activities
• Complies with documented Arrangement recognised by DAFF Biosecurity ( Part 3 of this attachment)
• Maintains relevant records (audit reports/ complaints/ etc) that support regulatory decisions relevant to export certification
• Reports export establishment critical non-conformities immediately to DAFF Biosecurity.
• Ensure establishments implement corrective action as required
• Implements corrective action as required as a result of DAFF Biosecurity verification of the SRA’s Arrangement.
• Provide DAFF Biosecurity with access to relevant data and information to enable verification activities
• Where applicable provides sufficient access to relevant data and information to enable DAFF Biosecurity to download to national data base.

DAFF Biosecurity

• Export certification
• • Provided on basis of verification of audit services delivered by States
• Provide delegations to SRA officers under the Export Control Act (1982) as appropriate
• • to approve auditors
  • other delegations as required to allow SRA officers to manage the service delivery
• Conforms with the policy of the SRA in respect of third party independent auditors
• Provide the SRA with all information necessary to effectively undertake service delivery
• Conduct an initial assessment/audit to recognise the SRA’s arrangement
• Undertake verification of SRA arrangement
• Determine performance criteria for service delivery provided by SRA
• Transforms relevant information and data collected by SRA to DAFF Biosecurity information system as appropriate.

Part 2 Administration of the Agreement between State and DAFF Biosecurity

• Confidentiality
• Legal status
• Information exchange
• Variations , dispute, termination , review, sunset

Part 3 Components of the Arrangement to be documented by SRAs

• General requirements
• • impartiality
  • confidentiality
• Organisation and management
• • Administration
  • Structure
• Management system requirements
• • Management commitment
  • Control of documents and records
  • Internal review / preventative and corrective action.
• Resources
• • Defined auditor competency requirements
  • Documented training programs (including on the job/witness; additional needs identified at observation and maintenance of competency)
  • Records of training, competency and qualifications of auditors
  • Sufficient staff and equipment to undertake required audit program
  • Equipment calibration and maintenance, as applicable
  • Subcontractors – documentation of competency etc and conflict of interest elements
• Data collection facilities, reporting of establishment audit outcomes
• Process requirements
• • Auditor approval process equivalent to process in attachment 2, particularly for auditors that are contracted by the SRA to perform audits
  • Audit scheduling and procedures documented, including:
  • • Management of export requirements (defined in commodity specific schedules) and relevant importing country requirements.
    • Managing establishment non-conformities
    • Notification to DAFF Biosecurity of critical non conformity
    • Rigour in respect of any sampling and analysis that is conducted as part of audit
  • Management of records used by the SRA for the purposes of monitoring industry performance such as KPIs.
  • Management of complaint and appeals in respect of export service delivery activities

Attachment 2

• Attachment 2 - Service Delivery Arrangements between DAFF Biosecurity and SRAs - 23 June 2011
  PDF [230 KB]
• Attachment 2 - Service Delivery Arrangements between DAFF Biosecurity and SRAs - 23 June 2011
  Word [779 KB]