Evaluation of fitness for human consumpt Evaluation of fitness for human consumption
Evaluation of fitness for human consumption
47.1 Establishments preparing processed food must have procedures in place for evaluating the fitness for human consumption of:
(a) all processed food (including returned product) received at the establishment; and
(b) all ingredients received at the establishment; and
(c) all processed food prepared for export as food at the establishment.
Note Paragraphs 47.1 (a) and 47.1 (b) apply to all processed food and ingredients received including processed food and ingredients sourced from unregistered establishments and establishments to which these Orders do not apply and including imported product.
Processed food not fit for human consump Processed food not fit for human consumption
Processed food not fit for human consumption
48.1 Processed food that is not fit for human consumption must:
(b) be segregated from and not contaminate processed food for export as food; and
(c) not be loaded for export.
48.2 Processed food that is not fit for human consumption must:
(a) be disposed of so that it does not contaminate processed food, ingredients or the water supply; or
(b) be treated to render it fit for human consumption.
48.3 Subclauses 48.1 and 48.2 do not apply to manufacturing grade processed food or to animal food.
(a) be clearly described as manufacturing grade and not fit for human consumption (or words of similar meaning); and
(b) be segregated from and not contaminate processed food for export as food.
Processed food that must be dealt with a Processed food that must be dealt with as not for export as food
Processed food that must be dealt with as not for export as food
50.1 Processed food that under these Orders must be dealt with as processed food that is not for export as food must:
(b) be segregated from and not contaminate processed food for export as food; and
(c) not be loaded for export.
Note For examples of processed food that under these Orders must not be exported as food see clauses 4 and 7 of this Schedule and clause 13 of Schedule 8.
50.2 If:
(a) an export permit is revoked for processed food; and
(b) the Secretary gives the occupier of establishment at which the food is located a written notice rejecting the food for export;
the food must:
(c) be clearly identified as not for export as food; and
(d) be segregated from and not contaminate processed food for export as food; and
(e) not be loaded for export.
Processed food not for export as food Processed food not for export as food
Processed food not for export as food
51.1 Processed food not for export as food must:
(b) be segregated from and not contaminate processed food for export as food.
Animal food Animal food
Animal food
52.1 Animal food must:
(a) be clearly identified as animal food and not for human consumption; and
(b) be segregated from and not contaminate processed food that is for food.
Processed food for export to identified Processed food for export to identified markets
Processed food for export to identified markets
53.1 If processed food is not eligible for export to all markets the following must be readily ascertainable:
(a) the countries to which the processed food is intended for export; and
(b) whether the importing country requirements for each of those countries that are specified in the applicable approved arrangement are met.
Note For when the approved arrangement must document controls used to ensure compliance with importing country requirements see clause 2 of Schedule 2.
Contaminants, natural toxicants, residues and food additives
1.1 Processed food for export as food and its ingredients must not contain any of the following:
(a) a metal or non metal contaminant or a natural toxicant in excess of the maximum level specified for the contaminant or toxicant in the Food Standards Code;
(b) an agricultural or veterinary chemical in an amount that contravenes the requirements of the Food Standards Code;
(c) a food additive, processing aid, vitamin, mineral, added nutrient, other matter or substance in contravention of the applicable requirements of the Food Standards Code.
Note 1 For the meaning of ingredient see order 8. See further the meaning of unsafe in order 10 and the meaning of unsuitable in order 11.
Note 2 For contaminants and natural toxicants see Standard 1.4.1 and Standard 1.4.4 of the Food Standards Code. For histamines see Standard 2.2.3 of the Food Standards Code.
Note 3 For residues see Standard 1.4.2 of the Food Standards Code.
Note 4 For food additives see Standards 1.3.1 to 1.3.4 of the Food Standards Code.
1.2 Processed food for export as food to a country and its ingredients need not comply with a requirement of subclause 1.1:
(a) as it applies to a contaminant or natural toxicant — if the importing country authority specifies a maximum level for the contaminant or natural toxicant for food of that kind or its ingredients (as the case may be) and the food or ingredients do not exceed that maximum level; and
(b) as it applies to an agricultural or veterinary chemical — if the importing country authority specifies a maximum limit for the chemical for food of that kind or its ingredients (as the case may be) and the food or ingredients do not exceed that limit; and
(c) as it applies to a food additive, processing aid, vitamin, mineral, added nutrient, other matter or substance for food — if the importing country authority specifies an alternative requirement for the food additive, processing aid, vitamin, mineral, added nutrient, other matter or substance for food of that kind or its ingredients as (the case may be) and the food or ingredient complies with the alternative requirement.
1.3 If paragraph 1.2 (a), 1.2 (b) or 1.2 (c) applies the applicable approved arrangement must:
(a) identify the maximum limit or alternative requirement concerned specified by the importing country authority; and
(b) document the controls used to ensure compliance with that maximum limit or alternative requirement.
Microbiological limits Microbiological limits
Microbiological limits
2.1 Processed food for export as food and its ingredients must meet the microbiological limits specified for food of that kind in the Food Standards Code.
Note See Standard 1.6.1 of the Food Standards Code.
2.2 Processed food for export as food to a country and its ingredients need not comply with subclause 2.1 if:
(a) the importing country authority specifies an alternative microbiological limit for food of that kind or its ingredients (as the case may be); and
(b) the food or its ingredients complies with the alternative microbiological limit.
2.3 If paragraph 2.2 (a) applies the applicable approved arrangement must:
(a) identify the alternative microbiological limit specified by the importing country authority; and
(b) document the controls used to ensure compliance with that alternative microbiological limit.
Gene technology, irradiation and other p Gene technology, irradiation and other processes
Gene technology, irradiation and other processes
3.1 Processed food for export as food and its ingredients must not:
(a) be produced using gene technology; or
(b) be irradiated; or
(c) be produced using, or subjected to, any other process;
in contravention of the applicable requirements of the Food Standards Code.
Note For gene technology see the Standard 1.5.2 of the Food Standards Code and for food irradiation see Standard 1.5.3 of the Food Standards Code.
3.2 Processed food for export as food to a country and its ingredients need not comply with subclause 3.1 if:
(a) the importing country authority specifies alternative requirements for the gene technology, irradiation or other process for food of that kind or its ingredients (as the case may be); and
(b) the alternative requirements are complied with in relation to the food or its ingredients.
3.3 If paragraph 3.2 (a) applies the applicable approved arrangement must
(a) identify the alternative requirements specified by the importing country authority; and
(b) document the controls used to ensure compliance with the alternative requirements.
Part 2 Methods of sampling and examination
Microbiological sampling and examination Microbiological sampling and examination
Microbiological sampling and examination
4.1 The sampling and examination of processed food and its ingredients for the purposes of demonstrating compliance with the microbiological limits of the Food Standards Code must comply with:
(a) the Australian Standards AS/NZS 1766 Methods for the Microbiological Examination of Food as at the day of commencement of this clause; or
(b) an equivalent method of examination in accordance with the Australian Standards AS/NZS 4659 Guide to Determining the Equivalence of Food Microbiology Test Methods as at the day of commencement of this clause.
4.2 The sampling and examination of processed food and ingredients for the purpose specified in subclause 4.1 must comply with any additional methods for their sampling and examination that are specified in the Food Standards Code.
4.3 The sampling and examination need not comply with subclause 4.1 and subclause 4.2 if:
(a) the importing country authority specifies an alternative method of sampling and examination for food of that kind or the ingredients; and
(b) the sampling and examination is done in accordance with the alternative method.
Note For general requirements for sampling and analysis see clause 9 of Schedule 2 and see also Division V of Part 9 of these Orders.
4.4 If paragraph 4.3 (a) applies the applicable approved arrangement must:
(a) identify the alternative method of sampling and examination specified by the importing country authority; and
(b) document the controls used to ensure compliance with that alternative method of sampling and examination.
When processed food must have a trade de When processed food must have a trade description
When processed food must have a trade description
1.1 Processed food for export as food must have a trade description containing the information specified in clause 4 of this Schedule applied to its immediate container.
1.2 The trade description must be applied before the food leaves the establishment at which the food is last packed in its immediate container before being loaded for export.
Note 1 For the meaning of trade description see section 3 of the Act.
Note 2 For the meaning of immediate container and loaded for export see order 8.
Note 3 For identification and traceability requirements applying to outer containers see clause 6 of Schedule 8.
Unlabelled canned food and unwrapped bul Unlabelled canned food and unwrapped bulk loaded food
Unlabelled canned food and unwrapped bulk loaded food
2.1 Despite clause 1 of this Schedule a trade description containing the information specified in clause 4 of this Schedule need not be applied to:
(a) processed food despatched from an establishment in cans without labels provided the requirements of subclause 5.2 of this Schedule are met; and
(b) unwrapped processed food bulk loaded into container system units.
Note If a trade description containing the information specified in clause 4 of this Schedule is not applied to unlabelled canned processed food or unwrapped bulk loaded processed food, additional information needs to be provided to the consignee on despatch, see clause 9 of Schedule 8.
Processed food identified as not for ret Processed food identified as not for retail sale
Processed food identified as not for retail sale
3.1 Despite clause 1 of this Schedule a trade description containing the information specified in clause 4 of this Schedule need not be applied to processed food if:
(a) the food is identified as not for retail sale; and
(b) the information specified in clause 4 of this Schedule is applied to the outer container containing the food before the outer container is loaded for export.
Part 2 Contents of the trade description
Division I Information requirements
Canned processed food Canned processed food
Canned processed food
5.1 If a can of processed food is not permanently marked with the complete trade description at the time of filling, the letters ‘EX’ followed by the registered number of the establishment at which the can is closed must be embossed or otherwise permanently marked on the can.
5.2 If processed food is to be despatched from an establishment in cans without labels the cans must be embossed or otherwise permanently marked at the time of filling with:
(a) a product cypher that can be used to identify the product; and
(b) the letters ‘EX’ followed by the registration number of the establishment at which the can is closed; and
(c) the country of origin of the food; and
(d) the identity of the lot for the food.
Note For the additional information to be provided to the consignee on despatch, see clause 9 of Schedule 8.
Division II Description of food
Fish Fish
Fish
6.1 If the processed food is fish (other than crocodile) the description of the food referred to in paragraph 4.1 (a) of this Schedule must also include:
(a) the scientific name of the fish and/or the Australian Fish Name of the fish; and
(b) the cut and preservation type of the fish.
Note For the meaning of Australian Fish Name see order 8.
Division III Declaration of ingredients
List of ingredients must comply with the List of ingredients must comply with the Food Standards Code
List of ingredients must comply with the Food Standards Code
7.1 The trade description applied to processed food must meet each of the applicable requirements for the labelling and naming of ingredients and compound ingredients that are specified in Standard 1.2.4 of the Food Standards Code.
Note For example if the importing country authority specifies that it does not require a trade description requirement of this Schedule to be complied with (or specifies a less stringent requirement), the Secretary may, at the request of the occupier, give the occupier a notice specifying that the requirement of this Schedule does not apply, see order 87.
7.2 Without limiting the generality of subclause 7.1 the ingredients must be listed in the order specified in Standard 1.2.4 of the Food Standards Code.
7.3 For the purposes of paragraph 2 (d) of Standard 1.2.4 of the Food Standards Code a small package means a package with a total surface area of less than 100 cm2.
Note Paragraph 2 (d) of Standard 1.2.4 the Food Standards Code exempts small packages from the requirement to include a statement of ingredients.
7.4 For the purposes of complying with the requirements of Standard 1.2.4 of the Food Standards Code:
(a) ingredient does not have the meaning given in clause 1 of that Standard; and
(b) ingredient means any substance (including a food additive) that is a constituent of the food but does not include a processing aid.
Note For the meaning of processing aid see order 8.
Compositional claims Compositional claims
Compositional claims
8.1 If a claim as to composition is made or implied regarding a processed food, a quantitative declaration supporting the claim must be included in the trade description.
Division IV Identifying the establishment
Registration number Registration number
Registration number
9.1 For the purposes of paragraph 4.1 (e) of this Schedule the registration number of the establishment must be clearly distinguishable as being the registration number.
Division V Identifying the producer, exporter etc
Name and address Name and address
Name and address
10.1 For the purposes of paragraph 4.1 (f) of this Schedule the address of:
(a) the exporter; or
(b) the occupier of the establishment at which the food is last packed in its immediate container before being exported;
must be the address in Australia at which the exporter or occupier conducts business in relation to the food.
10.2 For the purposes of paragraph 4.1 (f) of this Schedule, if:
(a) the name and address of the exporter is used; and
(b) the exporter is not a person who prepares the food;
the name must be preceded by the words ‘Packed for’ or a statement of similar meaning.
Identifying the repacker Identifying the repacker
Identifying the repacker
11.1 In addition to any other trade description required by these Orders, imported processed food (other than milk and milk products) that is repacked in Australia without being altered by further processing in Australia must contain the words ‘Packed by’ followed by the name and registration number of the establishment at which the food is repacked.
Part 3 Miscellaneous
Trade description must be accurate, legi Trade description must be accurate, legible, conspicuous and secure
Trade description must be accurate, legible, conspicuous and secure
12.1 Information required under these Orders to be contained in the trade description must:
(a) be accurate; and
(b) be legible; and
(c) be prominent, conspicuous and not obscured in any way; and
(d) be securely applied.
Additional information applied to a trad Additional information applied to a trade description
Additional information applied to a trade description
13.1 Additional information or pictures applied to the processed food must not be inconsistent with information required under these Orders to be contained in the trade description.
Trade description applied to packaging m Trade description applied to packaging material, liners, outer containers etc
Trade description applied to packaging material, liners, outer containers etc
14.1 A trade description applied to:
(a) packaging material such as carton liners, wraps or sheets within blocks to separate processed food; or
(b) an outer container containing a number of immediate containers of processed food;
must not be inconsistent with any part of the trade description required to be applied under these Orders.
Note For traceability and integrity requirements that may require information to be specified on outer containers see clause 6 of Schedule 8.
Trade descriptions in a language other t Trade descriptions in a language other than English
Trade descriptions in a language other than English
15.1 Any part of a trade description applied to processed food that appears in a language other than English must not be inconsistent with any part of the trade description in the English language.
Note For requirements to provide a translation of information applied to processed food or its packaging see order 84.
When a trade description must not be alt When a trade description must not be altered or interfered with
When a trade description must not be altered or interfered with
16.1 The trade description required under these Orders to be applied to processed food must not be altered or interfered with unless:
(a) the alteration or interference is done by an authorized officer; or
(b) an authorized officer gives written approval for the alteration or interference; or
(c) the applicable approved arrangement provides for the alteration and interference in the circumstances in which the alteration or interference is made.
Identification, tracing systems, integri Identification, tracing systems, integrity and recall
Identification, tracing systems, integrity and recall
1.1 Effective measures for tracing systems, for making records and retaining documents and for the identification of processed food must ensure that all processed food prepared at the establishment can be:
(a) identified; and
(b) traced; and
(c) if necessary, recalled.
Integrity of processed food for export a Integrity of processed food for export as food
Integrity of processed food for export as food
2.1 The integrity of processed food for export as food must be maintained.
Note For meaning of integrity see order 8.
Species identification for fish
3.1 Fish for export as food must be derived from the species of fish they are purported to be derived from.
3.2 Fish are not of the species they are purported to be derived from if fish derived from another species are substituted wholly or partly for them.
Note For requirement for the trade description to include the scientific name and/or the Australian Fish Name see clause 6 of Schedule 7.
Part 2 Supply and preparation of processed food
Production records Production records
Production records
5.1 A record must be made of all information necessary to ensure:
(a) trace-back to the individual lot of processed food prepared at an establishment; and
(b) trace-back to the supplier of the ingredients used in each lot and the date of supply of the ingredients.
Note For requirements relating to verification records and for requirements to keep documents see subclause 3.7 and clause 6 of Schedule 2. See further order 83.
5.2 For the purposes of complying with paragraph 5.1 (a) the record must in the case of shellfish include all information necessary to ensure trace-back to a single species of shellfish harvested from a particular harvesting area and designated by a single harvest record.
5.3 For the purposes of complying with subclause 5.1 (a) and without limiting the generality of subclause 5.1, for each lot of processed food prepared at an establishment a record must be made of:
(a) the description of the processed food; and
(b) the quantity of food in the lot; and
(c) the lot identity of the food; and
(d) the date of preparation of the food; and
(e) for processed food harvested by the establishment — the date and location of harvest.
Identification of processed food Identification of processed food
Identification of processed food
6.1 The following information must be applied to the outer container of processed food before the container leaves the establishment at which the outer container is packed:
(a) a description of the food;
(b) the registration number of the establishment at which the outer container is packed;
(c) the quantity of the food in the container;
(d) the lot identity of the food;
(e) the country of origin of the food.
Note For requirements for information to be applied to the immediate container see Schedule 7.
Part 3 Transfer of processed food
The information to be provided on despat The information to be provided on despatch
The information to be provided on despatch
7.1 For each consignment of processed food for export as food despatched from an establishment engaged in the preparation of processed food the following information must be given to the consignee:
(a) the name, address and registration number of the despatching establishment;
(b) a full description of the food;
(c) an indication of the temperature controls under which the food must, under these Orders, be transported;
(d) the quantity of the processed food in the consignment and the number and description of packages (if any) in which the food is packed;
(e) if the food is prepared in order to meeting the importing country requirements of one or more identified countries — the name of those countries;
(f) the name and address and registration number (if any) of the establishment to which the food is despatched;
(g) a declaration stating that:
(i) the requirements of these Orders, the applicable approved arrangement and the conditions of that arrangement; and
(ii) the importing country requirements identified in the approved arrangement;
that apply to and in relation to the processed food while it is at the establishment are complied with;
(h) a declaration stating that all the information given to the consignee for the purposes of complying with this clause is true and complete.
7.2 For each consignment of processed food for export for animal food despatched from an establishment engaged in the preparation of processed food for export as food the information specified in paragraphs 7.1 (a), (b), (d), (f), (g) and (h) must be given to the consignee.
Additional requirements for shellfish Additional requirements for shellfish
Additional requirements for shellfish
8.1 For shellfish for export as food as live shellfish the information must also include:
(a) the name of the harvester; and
(b) the name of the harvesting area and the unique lease number given to the harvester by the relevant State or Territory authority responsible for the regulation of the harvest of the shellfish; and
(c) the date of harvest.
Inter-company transfers Inter-company transfers
Inter-company transfers
10.1 This Part does not apply to the despatch of processed food if both of the following apply:
(a) the same person is the occupier of the despatching and the receiving establishment; and
(b) the occupier’s approved arrangement documents the controls necessary to ensure that the requirements of clause 1 of this Schedule are complied with during the transfer.
Requirements for declarations Requirements for declarations
Requirements for declarations
11.1 A declaration referred to in paragraphs 7.1 (g) and (h) of this Schedule must be signed and dated by the maker of the declaration.
Note For making declarations electronically see section 9 of the Electronic Transactions Act 1999 and for electronic signatures see section 10 of the Electronic Transactions Act 1999.
11.2 A declaration referred to in paragraphs 7.1 (g) and (h) of this Schedule must be made by a person who is:
(a) a person in management or control of operations at the despatching establishment; and
(b) designated in the despatching establishment’s approved arrangement as a person who may make such a declaration.
11.3 A declaration referred to in this Division must not:
(a) be false, misleading or incomplete; or
(b) be made if there is no sound basis for making it.
Note 1 For criminal penalties applying to false or misleading statements made by a person to a Commonwealth entity see the Criminal Code Act 1995 Part 7.4 (False or misleading statements).
Note 2 If a false or misleading statement is made the establishment’s approved arrangement may be suspended or revoked, see subclause 21.1 of Schedule 2.
Information must be given to the consign Information must be given to the consignee
Information must be given to the consignee
12.1 For the purpose of clauses 7 and 9 of this Schedule the information is taken to be given to the consignee if:
(a) it is in writing; and
(b) it is given to the consignee of the food at the time of despatch of the food or accompanies the food during despatch.
Note For when requirements to give information in writing can be complied with by an electronic communication see section 9 of the Electronic Transactions Act 1999.
Receipt of processed food Receipt of processed food
Receipt of processed food
13.1 If:
(a) processed food is received by an establishment; and
(b) the establishment does not receive the information referred to in clauses 7 and 9 of this Schedule or the information does not accompany the food; or
(c) the information received by the establishment or accompanying the food is inaccurate or incomplete;
the occupier must notify an authorized officer as soon as practicable on becoming aware that the information was not received or is inaccurate or incomplete.
13.2 If:
(a) processed food is received by an establishment; and
(b) a circumstance referred to in paragraphs 13.1 (b) or 13.1 (c) exists;
the food must:
(c) be held at the establishment under conditions of security and not dealt with further as processed food for export as food unless an authorized officer gives written approval for the food to be dealt with further; or
(d) be dealt with as processed food that is not for export as food.
Note For requirements for processed food that must be dealt with as not for export as food see clause 50 of Schedule 5.
Identification during transport Identification during transport
Identification during transport
14.1 The identification of processed food for export as food must not be lost during transport.
Note For other transport requirements see clause 9 of Schedule 3, clause 4 of Schedule 4 and Parts 5 and 6 of Schedule 5.
Making an application Making an application
Making an application
1.1 An application for an export permit for processed food must:
(a) be in the form approved by the Secretary for making applications for the export of processed food of that kind; and
(b) be given to the Secretary.
Contents of the application Contents of the application
Contents of the application
2.1 The application must contain the following information:
(a) the name and address in Australia of the person who intends to export the food;
(b) the registration number of the establishment at which the food is last prepared (other than merely stored, handled or loaded);
(c) each of the dates on which the food is prepared (other than merely stored, handled or loaded);
(d) if Australia is not the country of origin of the food — the country of origin of the food;
(e) the name and address of the consignee, or if a government certificate is not required — the words ‘to order’;
(f) the intended port of loading of the food;
(g) the intended date of departure of the ship or aircraft onto which the food is to be loaded;
(h) the airline flight number or the name of the ship and the voyage number;
(i) the intended port of discharge of the food;
(j) the country that is the intended final destination of the food;
(k) the net contents of the food and number and type of packages (if any) in which the food is packed;
(l) a full description of the food, include the type of product, the pack type and preservation (for example chilled, frozen or unrefrigerated);
(m) any other information required by the Secretary.
Note For the meaning of registration number see order 8.
Exporter must have a declaration of comp Exporter must have a declaration of compliance
Exporter must have a declaration of compliance
3.1 An application for an export permit for processed food must contain a declaration that the exporter is in possession of:
(a) a declaration that applies to the food and complies with the requirements of clause 6 of this Schedule and that is made by a person in management or control of operations at the establishment at which the processed food is last prepared (other than merely stored, handled or loaded); or
(b) a written verification for the food made by an authorized officer under clause 8 of this Schedule.
Note For the meaning of person in management or control see order 8.
3.2 Paragraph 3.1 (a) applies only if the food is prepared under an approved arrangement that provides for export inspection procedures that include the making of declarations of compliance for the food.
Exporter’s statement that information is Exporter’s statement that information is correct and complete
Exporter’s statement that information is correct and complete
4.1 An application for an export permit for processed food must contain a statement that all information given in the application is true and complete.
Note 1 For criminal penalties applying to persons who make false or misleading statements to a Commonwealth entity see the Criminal Code Act 1995 Part 7.4 (False or misleading statements).
Note 2 For the exporter’s obligations (including obligations in relation to making such declarations) see Part 5 of these Orders.
Division II Declaration of compliance made under an approved arrangement
When a declaration may be made When a declaration may be made
When a declaration may be made
5.1 A person referred to in paragraph 3.1 (a) of this Schedule may make a declaration referred to in that paragraph only if the applicable approved arrangement:
(a) provides for export inspection procedures that include the making of declarations of compliance for the food; and
(b) designates the person as a person who may make such a declaration of compliance.
Contents of the declaration Contents of the declaration
Contents of the declaration
6.1 A declaration of compliance for processed food referred to in paragraph 3.1 (a) of this Schedule must:
(a) identify the processed food and state that it relates to the compliance with the conditions and restrictions specified in Part 4 of these Orders at the time the processed food is last prepared (other than merely stored, handled or loaded); and
(b) declare that the conditions and restrictions specified in Part 4 of these Orders and applicable to and in relation to the food are complied with; and
(c) state that the information is true and complete; and
(d) be signed by the maker of the declaration and dated.
Note 1 For making declarations electronically see section 9 of the Electronic Transactions Act 1999 and for electronic signatures see section 10 of the Electronic Transactions Act 1999.
Note 2 This declaration may be the one that is made for the purposes of the transfer of processed food (see Part 3 of Schedule 8) by the establishment at which the food is last prepared (other than merely stored, handled or loaded).
Declaration must be correct and complete Declaration must be correct and complete
Declaration must be correct and complete
7.1 A declaration referred to in this Division must not:
(a) be false, misleading or incomplete; or
(b) be made if there is no sound basis for making it.
Note 1 For criminal penalties applying to false or misleading statements made by a person to a Commonwealth entity see the Criminal Code Act 1995 Part 7.4 (False or misleading statements).
Note 2 If a false or misleading statement is made the establishment’s approved arrangement may be suspended or revoked, see subclause 21.1 of Schedule 2.
Division III Verification and inspection by an authorized officer
Verification performed by an authorized Verification performed by an authorized officer
Verification performed by an authorized officer
8.1 If:
(a) an application for an export permit for processed food is given to the Secretary and there has been an opportunity to inspect the food if required; and
(b) an authorized officer has reasonable grounds to believe that the conditions and restrictions on export specified in Part 4 of these Orders that must be satisfied before the food may be exported from Australia are complied with;
the officer may give a written verification of the matters referred to in paragraph 8.1 (b).
Note For suspension or revocation of the approved arrangement if the Secretary has reasonable grounds to believe that the conditions and restrictions specified in paragraphs 8.1 (b) are not complied with see paragraph 21.1 (a) of Schedule 2.
Inspections, examinations and sampling Inspections, examinations and sampling
Inspections, examinations and sampling
9.1 An authorized officer may conduct such inspections, and examinations and take such samples as are necessary for the purposes of making a declaration referred to in clause 8 of this Schedule.
Division IV Permission to export
Explanation Explanation
Explanation
10.1 This Division contains provisions for export permits.
10.2 Clause 11 describes the issuing of export permits on an ongoing basis under an approved arrangement.
10.3 Clause 12 describes the issue of export permits on an ongoing basis by persons approved by the Secretary to issue permits.
10.4 Clause 13 describes the fully automated system used to give export permits. In this case the computer is programmed so that it does not result in the giving of an export permit unless certain preconditions are met. A person may access the automated system to issue permits if the person has approval to do so under an approved arrangement or the person is given approval to do so by the Secretary.
10.5 Clause 14 describes the giving of permits in circumstances where clauses 11 to 13 do not apply and where the Secretary only gives an export permit where the Secretary has reasonable grounds to believe that certain preconditions are met.
10.6 The remaining clauses in this Division regulate the approval of arrangements for the issue of permits and the approval of persons who may issue permits.
Issue of export permits under an approve Issue of export permits under an approved arrangement
Issue of export permits under an approved arrangement
11.1 This clause does not apply to export permits:
(a) generated as a result of the operation of a computer operating system specified in paragraph 25.1 (a) of this Schedule, or
(b) given by the Secretary under clause 14.
11.2 This clause applies if:
(a) the occupier of the establishment is also the exporter of processed food that is last prepared (other than merely stored, handled or loaded) at the establishment; and
(b) the occupier’s approved arrangement allows for the issue by a person referred to in subclause 11.3 of export permits for the ongoing export by the occupier of processed food of the kind referred to in paragraph 11.2 (a); and
(c) the occupier’s approved arrangement contains export inspection procedures that include the making of declarations referred to in paragraph 3.1 (a) of this Schedule for processed food of the kind referred to in paragraph 11.2 (a).
Note 1 For approval, variation, suspension and revocation of the approved arrangement as it relates to these matters see clause 15 of this Schedule.
11.3 An export permit may be issued by a person who:
(a) is designated in the occupier’s approved arrangement as person who may issue the permit; and
(b) is a person in management or control at the establishment.
Note 2 For fit and proper person requirements for persons in management or control see for example paragraph 4.04 (1) (i), sections 4.05 and 4.17 and paragraph 4.29 (1) (h) of the Export Control (Prescribed Goods — General) Order 2005.
11.4 Division 1 of this Schedule does not apply.
Note Division 1 contains requirements for applications for an export permit.
11.5 An export permit issued by a person referred to in subclause 11.3 must contain:
(a) all the information specified in clause 2 of this Schedule; and
(b) a declaration that applies to the food and complies with the requirements of clause 6 of this Schedule; and
(c) a statement that all information in the permit is true and complete.
Note 1 For the requirement for an export permit see order 53.
Note 2 The Criminal Code Act 1995 Part 7.4 (False or misleading statements) contains offences for false and misleading statements made to a Commonwealth entity.
Note 3 For the obligations relating to permits (including obligations in relation to the accuracy of information) see Part 5 of these Orders.
11.6 The occupier must give a copy of each permit issued by a person referred to in subclause 11.3 to the Secretary within 3 working days after the day the processed food identified in the permit is exported.
Issue of export permits by approved pers Issue of export permits by approved person
Issue of export permits by approved person
12.1 This clause does not apply to export permits:
(a) generated as a result of the operation of a computer operating system specified in paragraph 25.1 (a) of this Schedule, or
(b) issued by the Secretary under clause 14.
12.2 A person who is given approval by the Secretary under clause 16 (an approved export permit issuer) may issue an export permit for processed food of the kind described in the approval.
12.3 Division 1 of this Schedule does not apply.
Note Division 1 contains requirements for applications for an export permit.
12.4 An export permit issued by an approved export permit issuer must contain:
(a) all of the information specified in clause 2 of this Schedule; and
(b) a declaration that they are in possession of a declaration that:
(i) applies to the food; and
(ii) complies with the requirements of clause 6 of this Schedule; and
(iii) is made by a person in management or control of operations at the establishment at which the processed food is last prepared (other than merely stored, handled or loaded); and
(c) a statement that all information in the permit is true and complete.
Note 1 For the requirement for an export permit see order 53.
Note 2 The Criminal Code Act 1995 Part 7.4 (False or misleading statements) contains offences for false and misleading statements made to a Commonwealth entity.
Note 3 For permit issuer’s obligations (including obligations in relation to the accuracy of information) see Part 5 of these Orders.
12.5 An approved export permit issuer must ensure a copy of each permit he or she issues is given to the Secretary within 3 working days after the day the processed food identified in the permit is exported.
Automated export permits Automated export permits
Automated export permits
13.1 This provision applies if the export permit is an electronic notice generated as a result of the operation of a computer operating system specified in paragraph 25.1 (a) of this Schedule.
13.2 If each of the circumstances in subclause 11.2 exist a person referred to in subclause 11.3 may access the computer operating system for the purpose of the issue of export permits.
13.3 An approved export permit issuer may access the computer operating system for the purpose of the issue of export permits.
Note For the meaning of approved export permit issuer see order 8.
13.4 The Secretary must take all reasonable steps to ensure that the computer system does not result in the issue of export permits for processed food unless there are reasonable grounds to believe that there are systems in place to ensure:
(a) an application for an permit for processed food is given to the Secretary and an authorized officer has had an opportunity to inspect the food if required; and
(b) the application contains the information specified in clause 2 of this Schedule; and
(c) a declaration referred to in clause 3 of this Schedule is made; and
(d) the conditions and restrictions on export specified in Part 4 of these Orders that must be satisfied before the processed food may be exported from Australia; are complied with; and
(e) the information given to the Secretary in, or in connection with the application for the permit is accurate and complete and that there is a sound basis for the information.
Note 1 For requirements for permits see order 53.
Note 2 For the prohibition on granting an export permit if certain amounts required to be paid under the Export Inspection and Meat Charges Act 1985 are outstanding see section 12 of that Act.
13.5 An export permit issued under this clause is taken to be given by the Secretary.
Note For how an export permit is given electronically see Part 3 of this Schedule.
Permits given by the Secretary in other Permits given by the Secretary in other circumstances
Permits given by the Secretary in other circumstances
14.1 This clause applies to permits given by the Secretary that are not generated as described in subclause 13.1 of this Schedule.
14.2 The Secretary may give the person named in an application for an export permit as the exporter of processed food an export permit for the export of processed food if all of the following circumstances exist:
(a) an application for an export permit for the food is given to the Secretary and an authorized officer has had an opportunity to inspect the processed food if required; and
(b) the application contains the information specified in clause 2 of this Schedule; and
(c) a declaration referred to in clause 3 of this Schedule is made; and
(d) the Secretary is satisfied that the conditions and restrictions on export specified in Part 4 of these Orders that must be satisfied before the processed food may be exported from Australia are complied with; and
(e) the Secretary is satisfied that the information given to the Secretary in, or in connection with the application for the permit is accurate and complete and that there is a sound basis for the information.
Note 1 For the prohibition on granting an export permit if certain amounts required to be paid under the Export Inspection and Meat Charges Act 1985 are outstanding, see section 12 of that Act.
Note 2 For how an export permit is given electronically see Part 3 of this Schedule.
Approval etc of approved arrangements fo Approval etc of approved arrangements for issuing permits
Approval etc of approved arrangements for issuing permits
15.1 The Secretary may under clause 14 of Schedule 2 approve an arrangement as it relates to the matters referred to in subclause 11.2 if the Secretary is satisfied that:
(a) permits issued under the arrangement and other information given by the occupier to the Secretary in, or in connection with the export of processed food will be accurate and complete and have a sound basis; and
(b) the conditions and restrictions on export specified in Part 4 of these Orders that must be satisfied before processed food to which the export permits relate may be exported from Australia will be complied with; and
(c) the occupier’s arrangement contains controls to demonstrate how the occupier will comply with the requirements of Part 5 of these Orders and subclauses 11.5 and 11.6.
15.2 The Secretary may under subclause 19.1 of Schedule 2 require the occupier to submit a variation of the approved arrangement as it relates to the matters referred to in subclause 11.2 if the Secretary is not satisfied that compliance with the controls specified in the approved arrangement ensures that the matters specified in Part 5 of these Orders and subclauses 11.5 and 11.6 of this Schedule are complied with.
Note A variation of the approved arrangement proposed by the occupier that relates to a matters referred to in subclause 11.2 requires approval before it is implemented see subparagraph 18.2 (b) (iv) of Schedule 2.
15.3 The Secretary may under subclause 21.1 of Schedule 2 suspend or revoke the approval of an approved arrangement as it relates to the matters referred to in subclause 11.2 if:
(a) the Secretary is satisfied that any of the matters specified in subclause 15.1 are not met; or
(b) the occupier has failed to comply with a requirement of Part 5 of these Orders or subclauses 11.5 or 11.6 of this Schedule; or
(c) the occupier has failed to provide the assistance referred to in order 67.
15.4 The preconditions specified in subclause 15.1 are in addition to those specified in subclause 14.1 of Schedule 2.
15.5 Subclauses 15.2 and 15.3 do not operate so as to limit the ability of the Secretary to require a variation or suspend or revoke an arrangement under subclauses 19.1 and 21.1 (as the case may be) of Schedule 2.
Approval to issue permits Approval to issue permits
Approval to issue permits
16.1 A person may apply for approval to issue permits for the export of processed food prepared under an approved arrangement that contains export inspection procedures that include the making of declarations referred to in paragraph 3.1 (a) of this Schedule.
16.2 The application must contain:
(a) the information specified in paragraphs 2.1 (a) and 2.1 (b) of this Schedule; and
(b) a description of the processed food for export for which approval to issue export permits is required; and
(c) a statement by the exporter that all information given in the application is true and complete; and
(d) any other information required by the Secretary.
16.3 The Secretary may request that the applicant provide further specified information or documents that the Secretary reasonably requires in order to decide the application.
16.4 If the Secretary has not decided the application within 60 days after the day the application is received (not including any period between the Secretary making a written request under subclause 16.3 and the applicant meeting the request) the Secretary is taken to have refused the application.
16.5 The Secretary may by written notice give the applicant approval to issue export permits for processed food of the kind specified in the application if the Secretary is satisfied:
(a) the person is a fit and proper person having regard to the matters specified in section 4.05 of the Export Control (Prescribed Goods — General) Order 2005; and
(b) the applicant will comply with the applicable requirements of Part 5; and
(c) export permits issued by the applicant will comply with subclause 12.4; and
(d) the applicant will comply with subclause 12.5.
16.6 If the Secretary decides not to approve the applicant the Secretary must give the applicant written notice of the decision.
16.7 The notice must:
(a) set out the reasons for the decision; and
(b) tell the applicant of his or her right to apply for reconsideration of the decision.
16.8 The Secretary may:
(a) give approval under subclause 16.5 subject to conditions specified in the approval; and
(b) by written notice given to the exporter impose new conditions or vary or revoke the conditions.
16.9 The conditions must be for the purpose of ensuring that:
(a) export permits issued by the applicant will comply with subclause 12.4; and
(b) the applicant will comply with subclause 12.5; and
(c) that an accurate assessment can be made as to whether paragraphs 16.9 (a) and 16.9 (b) are met.
16.10 The Secretary may by written notice given to the applicant revoke approval of the person given under subclause 16.5 if the Secretary:
(a) is satisfied the person is not a fit and proper person having regard to the matters specified in section 4.05 of the Export Control (Prescribed Goods — General) Order 2005; or
(b) has reasonable grounds to believe that the person has failed to comply with an applicable requirement of these Orders or a condition of the approval; or
(c) has reasonable grounds to believe that the person has in an application or other document given to the Secretary or in a document or information required to be made or given under the Act, the Orders or a condition of the approval of the person made a statement that is:
(ii) for which there is no sound basis for making the statement; or
(d) has reasonable grounds to believe that the person has failed to provide the assistance referred to in order 67.
16.11 The approval of a person and a revocation take effect:
(a) when written notice of it is given to the person concerned; or
16.12 The Secretary must give the person concerned written notice of:
(a) the reasons for the revocation; and
(b) the person’s right to apply for reconsideration of the decision.
Note For reconsideration and review of decisions made under this Schedule see Part 16 of the Export Control (Prescribed Goods — General) Order 2005 and see also orders 98 and 99 of these Orders.
Restrictions on giving an export permit Restrictions on giving an export permit
Restrictions on giving an export permit
17.1 An export permit must not be given under this Schedule for processed food if the Secretary has reasonable grounds to believe that:
(a) a condition or disease that could affect the acceptability of processed food to the importing country is present in Australia; or
(b) the export of the processed food could result in trade in the export from Australia of goods being adversely affected.
17.2 An export permit need not be given under this Schedule for processed food if the Secretary has reasonable grounds to believe that:
(a) an importing country requirement for the food is not complied with; or
(b) a person to whom order 54 applies in respect of the food has failed to provide the assistance referred to in order 67; or
(c) a person to whom order 54 applies in respect of the food has failed to comply with an applicable requirement of the Act or these Orders.
Allocation of permit number Allocation of permit number
Allocation of permit number
18.1 The Secretary must take all reasonable steps to ensure that an export permit given under this Schedule is allocated a unique identifying number at the time it is given (including generated).
Variation and revocation of an export pe Variation and revocation of an export permit
Variation and revocation of an export permit
19.1 The Secretary may, at the written request of a person to whom order 54 applies, vary an export permit to:
(a) correct any error; or
(b) update the information;
on the face of the permit.
Note For variation electronically see Part 3 of this Schedule.
19.2 The Secretary may revoke an export permit for the export of processed food by giving a notice to a person to whom order 54 applies.
19.3 The notice of revocation may be given if the Secretary has reasonable grounds to believe that:
(a) a condition or restriction on export specified in Part 4 of these Orders that must be satisfied before the processed food may be exported from Australia is not complied with; or
(b) an importing country requirement for the processed food is not complied with; or
(c) there is a risk the processed food has deteriorated or is likely to deteriorate or is likely to be unfit for human consumption; or
(d) the intention to export the processed food is abandoned; or
(e) information given to the Secretary in relation to the processed food is inaccurate or incomplete or does not have a sound basis; or
(f) a condition or disease that could affect the acceptability of processed food to the importing country is present in Australia; or
(g) the export of the processed could result in trade in the export from Australia of goods being adversely affected; or
(h) a circumstance referred to in paragraphs 17.3 (b) or 17.3 (c) exists.
Note For how a notice of revocation is to be given see Part 3 of this Schedule.
When an export permit ceases to have eff When an export permit ceases to have effect
When an export permit ceases to have effect
20.1 An export permit ceases to have effect:
(a) when it is revoked; or
(b) in any other case — at the end of a period of 28 days after the day it is issued.
Direction given by authorized officer pr Direction given by authorized officer prevails
Direction given by authorized officer prevails
21.1 If an export permit given under this Part is inconsistent with a written notice of a direction given by an authorized officer in accordance with Division 1 of Part 8 of these Orders then the permit is, to the extent of the inconsistency, of no effect.
Part 2 Government certificates
Application for a government certificate Application for a government certificate
Application for a government certificate
22.1 A person may apply to the Secretary for the issue of a government certificate in respect of processed food to be imported into a country.
Note The Criminal Code Act 1995 Part 7.4 (False or misleading statements) contains offences for making false and misleading statements.
22.2 The Secretary may accept information given in an application for an export permit as satisfying any requirement to give the same information in an application for a government certificate.
Issue of government certificate Issue of government certificate
Issue of government certificate
23.1 The Secretary may issue a government certificate for processed food to be imported into a country if the Secretary is satisfied that the following are complied with:
(a) the conditions and restrictions on export specified in Part 4 of these Orders that must be satisfied before the processed food may be exported from Australia; and
(b) the importing country requirements for the processed food; and
(c) any matters specified on the certificate concerning processed food of the kind that are to be exported.
Note 1 For the meaning of importing country requirement see order 8.
Note 2 For how the certificate may be given electronically by the Secretary see Part 3 of this Schedule.
Restrictions on issuing a government cer Restrictions on issuing a government certificate
Restrictions on issuing a government certificate
24.1 A government certificate must not be issued under clause 23 of this Schedule if the Secretary is satisfied that:
(a) an export permit has not been issued or given for the food or for the food of that kind (as the case may be) or the export permit given has ceased to have effect; or
(b) the information given to the Secretary in, or in connection with, the application for the certificate is inaccurate or incomplete or does not have a sound basis; or
(c) a condition or disease that is likely to affect the acceptability of processed food to the importing country is present in Australia; or
(d) the export of the processed food could result in trade in the export from Australia of goods being adversely affected.
24.2 The Secretary need not issue a government certificate under clause 23 for processed food if the Secretary is satisfied that:
(a) a person to whom order 54 applies in respect of the food concerned has failed to provide the assistance referred to in order 67; or
(b) a person to whom order 54 applies in respect of the food concerned has failed to comply with an applicable requirement of the Act and these Orders.
Note For cancellation of a government certificate by the Secretary see subsection 23 (3) of the Act.
24.3 A government certificate must not be issued under clause 23 of this Schedule for manufacturing grade processed food or processed food for use for animal food that specifies that the condition of manufacturing grade processed food or animal food complies with the requirements of these Orders.
24.4 Despite subclause 24.3, the Secretary may issue a government certificate that describes the nature and actual condition of manufacturing grade processed food of the kind to be exported or processed food for use for animal food of the kind to be exported.
Note For the meaning of animal food and manufacturing grade processed food see order 8.
Part 3 Giving information or documents about exports
Specifications for systems used in trans Specifications for systems used in transmissions
Specifications for systems used in transmissions
25.1 For the purposes of section 24A of the Act:
(a) the computer operating system under the control of the Secretary and known as the EXDOC Operating System is the computer operating system for use for giving documents or information in relation to the export of processed food; and
(b) the software system known as the EXDOC Exporter Software Interface System is the software interface system for use for giving documents or information in relation to the export of processed food; and
(c) any software operating system listed in the document entitled Approved EXDOC Interface Software Suppliers for use for giving documents or information in relation to the export of processed food is a software operating system for that purpose.
25.2 If the following are to be done electronically they must be done electronically by being transmitted using the systems specified in subclause 25.1:
(a) the giving of an application for an export permit and an amendment of an application for an export permit to the Secretary;
(b) the issuing or giving of an export permit.
Note For examples of information not given electronically see clauses 11 and 12 of this Schedule.
25.3 Subclause 25.2 does not apply to export permits issued under clauses 11 or 12.
25.4 The following may be given electronically by being transmitted using the systems specified in subclause 25.1:
(a) an application for a government certificate;
(b) a government certificate.
25.5 If a person has a disability, or a particular disability, the Secretary must take reasonable steps to ensure:
(a) the person has equal opportunity in relation to the issuing, giving and receiving of documents referred to in subclauses 25.2 and 25.4; and
(b) the special needs the person may have in relation the issuing, giving and receiving of the documents are met.
Note For the meaning of disability see order 8.
If the system is inoperative If the system is inoperative
If the system is inoperative
26.1 If a system described in subclause 25.1 of this Schedule is inoperative, the information must be given in the manner specified by the Secretary in writing.
Note For when a document or information that is transmitted in accordance with the specifications outlined in this clause are taken to be given see section 24A of the Act.
26.2 Subclause 26.1 does not require the Secretary to specify the manner of giving information unless a system is inoperative.
Specifications for transmissions to a pe Specifications for transmissions to a person other than the Secretary
Specifications for transmissions to a person other than the Secretary
27.1 An electronic transmission made to a person (other than the Secretary) must be transmitted to the person as identified by the identifying code given to the person under clause 30 of this Schedule.
Authentication for transmissions to the Authentication for transmissions to the Secretary
Authentication for transmissions to the Secretary
28.1 An electronic transmission made to the Secretary by a person must be authenticated by transmitting the identifying code given to the person under clause 30 of this Schedule.
Requirements are specifications for the Requirements are specifications for the purposes of the Act
Requirements are specifications for the purposes of the Act
29.1 The requirements specified in clauses 25 to 28 of this Schedule are specifications for the purposes of section 24A of the Act.
Allocation of user identifying code Allocation of user identifying code
Allocation of user identifying code
30.1 The Secretary must take all reasonable steps to ensure that the person is given an identifying code for use in electronic transmissions under this Schedule.
Secretary must keep a register Secretary must keep a register
Secretary must keep a register
1.1 The Secretary must keep a register of approved auditors.
1.2 The register must contain the following information about each approved auditor:
(a) the auditor’s name; and
(b) whether the approval is for approval as an approved auditor of:
(i) operations for the preparation of processed food; or
(ii) operations for the export of processed food; or
(iii) operations for the issue of export permits; and
(c) if the approval is for approval as an approved auditor of operations for the preparation of processed food — any limitations of the kind specified in paragraph 5.3 (b).
1.3 The Secretary must ensure that the register can be readily accessed by members of the public.
Note For the meaning of approved auditor and export permit see order 8.
Note 2 For the issue of export permits see Division IV of Part 1 of Schedule 9.
Division II Approval of auditors
Request for information, documents or as Request for information, documents or assessment
Request for information, documents or assessment
3.1 The Secretary may request that the applicant do any of the following that the Secretary reasonably requires in order to decide the application:
(a) provide further specified information or documents;
(b) submit to assessment by interview, audit or written examination, or any combination of those ways.
Decision by the Secretary Decision by the Secretary
Decision by the Secretary
4.1 If the Secretary has not decided the application within 30 days after the day the application is received (not including any period between the Secretary making a written request under clause 3.1 and the applicant meeting the request) the Secretary is taken to have refused the application.
Approval by the Secretary Approval by the Secretary
Approval by the Secretary
5.1 The Secretary may, by written notice given to the applicant, approve the applicant as an auditor if the Secretary is satisfied that:
(a) the applicant has the necessary knowledge, training, skills and experience to competently carry out audits of the kind for which approval is sought; and
(b) the audits conducted by the applicant will be objective, independent, fair and accurate and, unless stated otherwise in the audit report, will be complete; and
(c) the applicant will comply with the requirements of Division II of Part 6 of these Orders; and
(d) the applicant will comply with documented procedures for the conduct of audits that are necessary to ensure:
(i) the matters specified in paragraphs 5.1 (b) and 5.1 (c) will be met; and
(ii) an accurate assessment can be made of whether the matters specified in paragraphs 5.1 (b) and 5.1 (c) are met; and
(e) the applicant will comply with the procedures referred to in paragraph 5.1 (d); and
(f) the applicant is a fit and proper person having regard to the matters specified in section 4.05 of the Export Control (Prescribed Goods — General) Order 2005.
5.2 Without limiting the matters the Secretary may take into account for the purpose of being satisfied of the matters specified in subclause 5.1, the Secretary may take into account any real or perceived conflict of interest that could arise if the applicant was to be approved.
5.3 The notice of approval of an approved auditor of operations for the preparation of processed food:
(a) must specify that the approval is for the audit of compliance with all of the requirements specified in paragraph 2.1 (a) for all aspects of the preparation of all processed food at all establishments preparing processed food for export as food; or
(b) must specify:
(i) the requirements; and
(ii) the aspects of preparation; and
(iii) the processed food; and
(iv) the establishments (including industries or industry sectors) of a particular kind; and
in relation to which the approval of is given.
When the Secretary need not approve an a When the Secretary need not approve an auditor
When the Secretary need not approve an auditor
6.1 The Secretary need not approve the applicant as an auditor if the applicant:
(a) either alone or jointly with another person owes to the Commonwealth any amount payable to the Department; or
(b) has, in an application or other document given to the Secretary, or in a document or information required to be made or given under the Act, the Orders or a condition of the approval of the auditor made a statement that is:
(ii) for which there is no sound basis for making the statement.
Note For the meaning of any amount payable to the Department see order 8.
Notice of decision Notice of decision
Notice of decision
7.1 If the Secretary decides not to approve the applicant as an approved auditor the Secretary must give the applicant written notice of the decision.
7.2 The notice must:
(a) set out the reasons for the decision; and
(b) tell the applicant of his or her right to apply for reconsideration of the decision.
How long approval lasts How long approval lasts
How long approval lasts
9.1 The approval of a person as an auditor takes effect on and from:
(a) the day stated in the notice given under subclause 5.1 of this Schedule as the day of commencement of approval; or
(b) if no day is so specified — the day that the notice is given to the person.
9.2 However, if the auditor must pay a fee under the Export Control (Fees) Orders, the approval does not begin to have effect until the fee is paid.
9.3 The approval of a person as an auditor ceases to have effect:
(a) at the end of 12 months after the day specified in subclause 9.1 as the day the approval takes effect; or
(b) when it is revoked;
which ever occurs first.
Note For revocation see clause 11 of this Schedule.
Assessing the competence of approved aud Assessing the competence of approved auditor
Assessing the competence of approved auditor
10.1 The Secretary may assess the competence of an approved auditor, as often as the Secretary thinks necessary.
10.2 Without limiting suborder 10.1 the assessment may include:
(a) an examination of reports made by the auditor in the course of auditing operations; and
(b) an audit of at least one operation that was audited under these Orders within the previous six months by the auditor; and
(c) observing the auditor while he or she is conducting an audit.
Division III Revocation of approval of auditor
Revocation Revocation
Revocation
11.1 The Secretary may by written notice revoke the approval of a person as an approved auditor if the Secretary:
(a) is satisfied that the applicant is not to a fit and proper person having regard to the matters specified in section 4.05 of the Export Control (Prescribed Goods — General) Order 2005; or
(b) has reasonable grounds to believe the person does not have the necessary knowledge, training, skills and experience to competently carry out audits of the kind for which approval is given or the person has failed to show reasonable competence in audit work; or
(c) has reasonable grounds to believe an audit conducted or an audit report prepared by the person is not objective, independent, fair, accurate or complete (and the audit report fails to give reasons why the audit is incomplete); or
(d) has reasonable grounds to believe the person has failed to comply with a requirement of Division II of Part 6 of these Orders or a condition of the approval; or
(e) has reasonable grounds to believe the person has in an application or other document given to the Secretary or in a document or information required to be made or given under the Act, the Orders or a condition of the approval of the auditor made a statement that is:
(ii) for which there is no sound basis for making the statement.
11.2 Without limiting the matters the Secretary may take into account for the purpose of forming a view as to the matters specified in subclause 11.1, the Secretary may take into account any real or perceived conflict of interest.
11.3 The revocation takes effect:
(a) when written notice of it is given to the auditor concerned; or
11.4 The Secretary must give the auditor concerned written notice of:
(a) the reasons for the revocation; and
(b) the auditor’s right to apply for reconsideration of the decision.
Note For reconsideration and review of decisions made under this Schedule see Part 16 of the Export Control (Prescribed Goods — General) Order 2005 and see also orders 98 and 99 of these Orders.