Automatic Entry Processing (AEP) for Commodities Scheme: Schedule

Reference No. 0016 | August 2009 | Version 2.1

1. Purpose

The purpose of this Schedule is to set out the requirements to be met by an Other Party when operating under the AQIS Automatic Entry Processing (AEP) for Commodities Scheme (the Scheme).

2. Scope

This Schedule is limited to the assessment of documentation for consignments of specific commodities approved by AQIS, that have commodity-related quarantine concerns, and the self-direction of these consignments.

This Schedule applies to Other Parties who receive documentation for commodities as defined in the Processes and Outcomes Document for the Scheme and subsequently lodge entries via the Customs Integrated Cargo System (ICS).

3. Definitions

This Schedule is to be read in conjunction with the AQIS Compliance Agreement Generic Glossary and the AQISMinimum Documentary Requirements Policy that may contain words and/or phrases that have particular meaning within the context of the Scheme or the Compliance Agreement of which it forms a part. Further Scheme specific terms are defined below.

4. Applicable Legislation

4.1 Persons and goods subject to quarantine: section 18 of the Quarantine Act 1908 (Cwlth).

4.2 Landed cargo in quarantine: Section 44B of the Quarantine Act 1908 (Cwlth).

4.3 Approvals for the purpose of goods ordered into quarantine: Section 46A of the Quarantine Act 1908 (Cwlth).

4.3 Compliance Agreements: Section 66B of the Quarantine Act 1908 (Cwlth) and Section 72-74 of the Quarantine Regulations 2000.

4.4 Penalties for certain acts performed in contravention of the Act: section 67(6) of the Quarantine Act 1908 (Cwlth).

4.5 Direction to move goods: Section 70D of the Quarantine Act 1908 (Cwlth).

5. Pre-requisites

5.1 The Other Party must have the ability to receive, open and read electronic mail messages (email) with attached HTML documents.

5.2 The Other Party must employ or utilise a minimum of one (1) accredited person to undertake tasks within the Operational Procedures Statements (OPS) that are specifically designated to accredited persons.

5.3 Containerised Cargo Consignments

In order to process containerised cargo consignments under the Scheme, the Other Party must be a signatory to and operate under the Non-commodity for Containerised Cargo Clearance Scheme.

5.4 Other applicable schemes

If there are any other applicable non-commodity schemes that may operate in conjunction with the Scheme, the Other Party must be a signatory to and operate under those non-commodity schemes.

6. Requirements

The Other Party under this Schedule must comply with the following requirements:

6.1 Satisfy all the elements under Section 5 of this Schedule.

6.2 Ensure that only accredited persons undertake tasks within the Operational Procedures Statement (OPS) that are specifically designated to accredited persons.

6.3 Undertake an assessment of commodity documentation in scope of the Scheme in accordance with the requirements of the OPS and the AQIS Minimum Documentary Requirements Policy as amended from time to time.

6.4 Ensure that the assessment of quarantine commodity documentation by accredited persons is accurately reported to AQIS through the use of AQIS Processing Types.

6.5 Provide AQIS with an assurance (as per Section 7.2) that the outcomes and requirements of this Scheme have been met.

6.6 Implement and operate in accordance with procedures described in the OPS relating to this Schedule (as listed in the Table of Schedules) to ensure that the specified outcomes are achieved.

6.7 Cooperate with AQIS and provide relevant information as requested.

6.8 Comply with all quarantine directions.

6.9 Notify AQIS in writing when an accredited person ceases to be employed or contracted by the Other Party.

6.10 Ensure that the current versions of the documents covered by this Schedule are retained.

6.11 Ensure that the records and documents relating to supervising, monitoring and testing compliance with the procedures for goods covered by this Schedule are created, maintained and kept up-to-date.

6.12 Keep the records and documents mentioned at sub-paragraphs 6.10 and 6.11 at the premises where the procedures authorised by the agreement are conducted; or provide requested records and documents to AQIS within 24-48 hours of such request or at an agreed time.

6.13 Keep the required records and documents for a minimum period of 18 months from the date of assessment of the documentation.

6.14 Acknowledges and agrees that AQIS will monitor the Other Party's compliance with the agreement and performance against the OPS using a specified audit regime and random surveillance activities.

(i) The types of audit that will be applicable to this Scheme and for which AQIS will charge fees under section 86E of the Quarantine Act 1908 are:

(a) Import Declaration referral and assessment
(b) Announced audits
(c) Reinstatement audits

For an explanation of each audit type refer to Section 2 of the General Policies.

(ii) The audit regime for this Scheme is based on review levels between which the Other Party will move in accordance with its performance against the OPS. The Other Party will commence at review level 1 and will move between review levels in accordance with Section 4 of the General Policies. Each review level prescribes the number of audits and the period during which these audits will be conducted.

For guidance on review levels refer to Section 4 of the General Policies.

(iii) If a non-conformity occurs, the audit regime will ensure that additional action is taken to monitor performance, assist the Other Party to address matters of quarantine concern, and re-establish compliance. The three types of non-conformities are:

(a) Critical non-conformity
(b) Major non-conformity
(c) Minor non-conformity

For guidance on non-conformities refer to Section 5 of the General Policies.

Note: The inclusion of the above requirements in relation to record keeping and examinations or services is in accordance with regulation 72(1) of the Quarantine Regulations 2000.

7. Person Authorised to Give Certification or Assurance

7.1 Persons holding or occupying the following positions with the Other Party are authorised to provide a Quarantine Officer with a certificate or assurance that all the processes/procedures to which this Schedule refers have been complied with in respect of the goods covered by this Schedule:

(a) accredited persons.

7.2 In relation to 66B(6) of the Quarantine Act 1908 (Cwlth), a certificate or assurance for this schedule will be deemed to be given by the Other Party:

(a) When an AQIS Processing Type has been entered into the Customs System.

8. Review Date

The review date for the Schedule for the Automatic Entry Processing for Commodities Scheme is 31 July 2012, or such earlier period as determined by AQIS subject to the giving of two (2) weeks notice to the Other Party.

9. Execution

This form is in the 'AEP for Commodities Schedule' document which can be downloaded from the 'Other Format' box above.

Further Information

For further information contact the:

National Compliance Agreement Coordinator
Co-regulation Administration and Support Program
Australian Quarantine and Inspection Service
GPO Box 858
CANBERRA ACT 2601

Fax: 02 6272 5888
Email: Broker Accreditation