AA Security Paper - DAFF Biosecurity Compliance Policy

DAFF Biosecurity Compliance Policy - Electronically generated (EXDOC) Phytosanitary Certificates and other Export Certificates using DAFF Biosecurity light sensitive security paper (Plant Export Operations)

1. Background

   1.1 The purpose of the Compliance Policy is to detail how DAFF Biosecurity will determine the result of audits. The Compliance Policy sets out a series of classifications (Table 1) that if not complied with will result in actions being taken until the Other Party can demonstrate at audit that they are compliant with the requirements of the agreement.

2. Compliance policy

   2.1 Critical Non-conformity

   2.1.1 The Other Party will be determined to have failed the audit should a major non-conformity be detected during audit.

   2.1.2 Where a major non-conformity is identified the Agreement will be suspended until the Other Party can demonstrate to DAFF Biosecurity's satisfaction that the non-conformity has been rectified and suitable procedures put in place to prevent reoccurrence of the non-conformity.

   Note: this may necessitate another audit to establish the degree of compliance of the Other Party with the requirements of the agreement.

   2.1.3 On re-instatement of the Agreement the Other Party will be subject to the additional auditing.

   2.1.4 Should the Other Party fail an audit after reinstatement the Agreement will be suspended until the necessary corrective action is taken by the Other Party to assure DAFF Biosecurity that on reinstatement they will be able to meet their obligations under the approved agreement.

   2.1.5 Should the Agreement be suspended the approved agreement will be cancelled and the Other Party required to collect electronically generated (EXDOC) phytosanitary certificates and other export certificates from an DAFF Biosecurity office.

   2.2. Determining the Audit Result

   2.2.1 On completion of each audit the DAFF Biosecurity auditor will determine the result of the audit against the classifications given in Table 1.

   2.2.2 The Other Party will be considered to have passed the audit if no major non-conformities where found at audit.

   2.3 Audit Result - Failed

   2.3.1 Where the Other Party is determined to have failed an audit, the sanction invoked will be that applicable to cause of the failure.

   Note:

   1. Valid and legitimate use of the DAFF Biosecurity light sensitive security paper consists of the printing of all copies of an electronically generated (EXDOC) phytosanitary certificate and other export certification on this paper (and no other).
   2. DAFF Biosecurity light sensitive paper used inadvertently is to be destroyed in a secure manner (e.g. shredder or secure recycling bin).
   3. Original phytosanitary certificates for which replacement certificates have been issued are to be destroyed in a secure manner (e.g. shredder or secure recycling bin).
   4. Inability to demonstrate valid and legitimate use of the DAFF Biosecurity light sensitive security paper may result in:
      
      
      1. DAFF Biosecurity revoking the privileges of the Company access to supplies of the DAFF Biosecurity light sensitive security paper OR
      2. DAFF Biosecurity revoking the privileges of the Company access to receive remote print files.
         The outcome of this action will be the Company’s inability to receive electronically generated (EXDOC) phytosanitary certificates and other export certification through the remote print function.
         
   5. Where DAFF Biosecurity revokes the privilege of either access to DAFF Biosecurity light sensitive security paper or receiving remote print files, the sanction shall be:
      
      
      1. 1st offence – 100 Phytosanitary certificates
      2. 2nd offence – 200 Phytosanitary certificates
      3. 3rd offence – to be determined by the Manager, Plant Export Operations, or
      4. any penalty approved by the Manager, Plant Export Operations
         
   6. Where sanctions have been invoked, it is the responsibility of the Manager of the Company to prove to DAFF Biosecurity that they have implemented procedures to ensure that the non-conformity is unlikely to occur again.

3. Appeal Against Audit Result Decision

   3.1 Where the Other Party feels that either the audit result and or the interpretation of the Compliance Policy is incorrect they can appeal to Manager, Plant Export Operations to have their case reviewed in accordance with DAFF Biosecurity Appeals Policy.

4. Other documentation to be read in conjunction with this policy

   1. Agreement - Electronically generated (EXDOC) Phytosanitary Certificates and other Export Certificates using DAFF Biosecurity light sensitive security paper (Plant Export Operations).
      
      
   2. Process Management System - Electronically generated (EXDOC) Phytosanitary Certificates and other Export Certificates using DAFF Biosecurity light sensitive security paper (Plant Export Operations).
      
      
   3. DAFF Biosecurity Audit Policy - Electronically generated (EXDOC) Phytosanitary Certificates and other Export Certificates using DAFF Biosecurity light sensitive security paper (Plant Export Operations).
      
      
   4. DAFF Biosecurity Review Policy - Electronically generated (EXDOC) Phytosanitary Certificates and other Export Certificates using DAFF Biosecurity light sensitive security paper (Plant Export Operations).
      
      
   5. DAFF Biosecurity Appeals Policy - Electronically generated (EXDOC) Phytosanitary Certificates and other Export Certificates using DAFF Biosecurity light sensitive security paper (Plant Export Operations).
      
      

   Table 1 - Classifications of Non-Conformities

   Critical

   Printing Phytosanitary certificates and other export certificates on paper other than DAFF Biosecurity light sensitive security paper. Non-accountability of cancelled Phytosanitary certificates and other export certificates. Inappropriate disposal or destruction of original certificates and inadvertently printed correspondence. Non-disposal or destruction of original certificates and inadvertently printed correspondence.

   Major

   Repetitive printing of documents other than Phytosanitary certificates and other export certificates on DAFF Biosecurity light sensitive security paper. Repetitive non-accountability of cancelled Phytosanitary certificates and other export certificates. Deleting print files Inability to demonstrate an appropriate register for documenting re-print certificates and inadvertently printed correspondence on DAFF Biosecurity light sensitive security paper.