Compliance classifications for Broker class approved arrangements
Compliance classifications for broker class approved arrangements
Biosecurity industry participants (BIPs) are responsible for complying with their broker class arrangements.
Broker class arrangements are:
- class 19.1: non-commodity for containerised cargo (NCCC)
- class 19.2: automatic entry processing for commodities (AEPCOMM).
If you do not comply, we:
- will use compliance classifications to determine our response
- may take action against individual associates (accredited persons).
Check compliance actions inTraining and accreditation for broker approved arrangements (class 19.1 and class 19.2).
Prerequisites for broker class arrangements
Class 19.1
Requirement 1 — Have at least one employed or contracted person who is trained and accredited to undertake tasks under the 19.1 class AA.
Requirement 2 — Notify the department of the accredited persons that will perform the approved activities and their customs broker licence number.
Requirement 3 — Obtain and hold a Branch ID from the Department of Home Affairs, enabling the approved arrangement to lodge import declarations in the ICS.
Class 19.2
Requirement 1 — The Biosecurity Industry Participant (BIP)must hold a current class 19.1 approved arrangement and have at least one employed or contracted person who is accredited to undertake tasks under the class 19.1 AA.
Requirement 2 — Have at least one employed or contracted person who is trained and accredited to undertake tasks under the 19.2 class AA.
Requirement 3 — Notify the department of the accredited persons that will perform the approved activities and their customs broker licence number.
How to comply with requirements
Use these tables as a guide on how to comply with the individual requirements and to know the associate compliance classifications and enforcement actions for non-compliance:
- AA class 19.1: non-commodity for containerised cargo clearance (NCCC)
- AA class 19.2: automatic entry processing for commodities (AEPCOMM).
These tables are not exhaustive. They do not replace any other enforcement actions available to us under the Biosecurity Act 2015.
Terms we have used are defined in:
- the approved arrangements glossary
- theBiosecurity Act 2015.
You may see references to ‘AQIS’. This will appear only where ‘AQIS’ is used in the relevant IT system.
General requirements
Class 19.1 and Class 19.2 requirement / Action that does not comply / Compliance classification / How to complyRequirement 4 / The accredited person has not maintained their continued biosecurity competency and/or maintained their training. (Class 19.1 REQ 20 and Class 19.2 REQ 22 set out the details for maintaining training records). Failure of the individual to maintain their training will result in their accreditation being suspended or cancelled. / Major / The accredited person must maintain their training and accreditation by under taking annual Continued Biosecurity Competency training as stipulate by the Broker training and accreditation policy.
Requirement 5* / The accredited person/s or relevant third parties have not complied with one or more biosecurity directions resulting in goods bypassing biosecurity controls without correct intervention. / Critical / The BIP must ensure AIMS directions received are complied with. The BIP must provide third parties with biosecurity directions to be carried out in accordance with their approved arrangement within the designated direction timeframe (that allows the biosecurity risk to be managed). If a BIP becomes aware that a third party is not carrying out biosecurity directions they are to inform the department as per REQ 8
The accredited person/s or relevant third parties have not complied with one or more biosecurity directions however the goods remain under biosecurity control / Major
Requirement 6 / The BIP has not notified the department when they cease to have at least one accredited person employed or contracted to them and continued to lodge consignments under Broker AA Class 19.1 and/or Broker Class 19.2. / Suspend/Revoke / The BIP must notify the department in writing when accredited persons join or depart the approved arrangement and when it ceases to employ or contract at least one accredited person.
Requirement 7 / The BIP has not notified the department when they became aware of a change in status or to the status of their associates including accredited brokers due to conviction of an offence or order to pay a pecuniary penalty. / Suspend/Revoke / The department must be notified within 15 working days when a BIP becomes aware of any of changes to their status or their associates due to conviction of an offence or order to pay pecuniary penalty under the Biosecurity Act 2015, Customs Act 1901, Criminal Code or Crimes Act 1914 and/or debt to the Commonwealth that is more than 28 days overdue and/or refusal, involuntary suspension, involuntary revocation/cancellation or involuntary variation of an import permit, AA site, or AA under the Biosecurity Act 2015
Requirement 8 / The BIP and/or accredited person/s have failed to notify department of a reportable biosecurity incident as soon as practicable resulting in goods being released from biosecurity control without biosecurity intervention / Suspend/Revoke / The BIP must notify the department of any reportable biosecurity incident as soon as practicable, in accordance with the determination made by the Director of Biosecurity.
The BIP and/or accredited person/s have failed to notify department of a reportable biosecurity incident as soon as practicable however the goods remain under biosecurity control / Critical
Requirement 9 / The BIP is often and/or repeatedly subject to non-compliance action due to documentation verification and/or declaration issues and maintains consistently high documentation verification rates across the arrangements. / Suspend/Revoke / The BIP must maintain an acceptable compliance rate in accordance with Approved Arrangements General Policies Appendix 2: Brokers – monitoring and assessing compliance and Compliance classifications for Broker class approved arrangements.
Requirement 10 / BIP refuses site access to biosecurity officers, biosecurity enforcement officers and department-approved auditors to perform the functions and exercise the powers conferred on them by the Biosecurity Act or another law of the Commonwealth / Managed using powers under Chapter 7 of the Biosecurity Act 2015 / In accordance with the conditions of the AA, the BIP has agreed to provide access to biosecurity officers, biosecurity enforcement officers and department-approved auditors to perform the functions and exercise the powers conferred on them by the Biosecurity Act or another law of the Commonwealth
Requirement 11 / BIP has not provided reasonable facilities and assistance as requested by biosecurity officers, biosecurity enforcement officers and department-approved auditors / Critical / In accordance with the conditions of the AA, the BIP has agreed to provide access to departmental or department approved auditors with facilities and assistance as requested and any required documents (including electronic documents), records or items relevant to the audit.
Requirement 12 / BIP has not allowed Department-approved auditors to collect evidence of compliance and non-compliance with AA requirements. / Managed using powers under Chapter 7 of the Biosecurity Act 2015 / In accordance with the conditions of the AA, the BIP has agreed to provide access to approved auditors to examine documents (including electronic documents) and collect information on compliance and non-compliance with AA requirements by performing actions such as copying documents and taking photographs
*REQ 5: In cases where a third party has not complied with one or more biosecurity directions and the BIP can provide evidence that they have provided relevant third parties with all directions, then the department will pursue non-compliance against the third party.
Document assessment compliance (operating requirements)
Class 19.1 requirement / Class 19.2 requirement / Action that does not comply / Compliance classification / How to complyREQ 13 / REQ 14 / The accredited person assessed the consignment utilising Broker AA Class 19.1 and/or Broker AA Class 19.2 without one or more mandatory documents required as per BICON conditions and/or Minimum documentary and import declarations requirements policy. / Critical / The accredited person must ensure they have all required mandatory documentation to correctly answer import declaration requirement questions prior to entering an AEP NCCC or AEPCOMM code into the ICS to generate a biosecurity direction.
REQ 13 / REQ 14 / The accredited person has accepted a document that does not meet department policies and/or BICON due to:
- missing a required statement and the goods were released from biosecurity control
- missing a required statement and the goods would have been released from biosecurity control if they had not been referred for random verification
- missing overarching minimum documentary and import declaration requirements and the goods were released from biosecurity control (e.g. endorsement, consignment specific link, letterhead), or
- missing overarching minimum documentary and import declaration requirements and the goods would have been released from biosecurity control had they not been referred for random document verification (e.g. endorsement, consignment specific link, letterhead)
- they have obtained all relevant statements required to support an assessment (in accordance with BICON conditions)
- documentation meets documentary requirements utilising the most current versions of relevant policies (e.g. Minimum documentary and import declarations requirements policy, Non-commodity information requirements policy).
The accredited person has accepted a document that does not meet department policies and/or BICON due to:
- missing a required statement and the goods remain under biosecurity control for further Biosecurity intervention (such as consignment is going for inspection)
- missing overarching minimum documentary and import declaration requirements (e.g. endorsement, consignment specific link, letterhead) and the goods remain under biosecurity control for further Biosecurity intervention (such as consignment is going for inspection), or
- an incorrectly worded statement and the goods were released from biosecurity control.
The accredited person has accepted a document that does not meet department policies and/or BICON due to an incorrectly worded statement and the goods remain under biosecurity control. / Minor
Import declaration compliance (operating requirements)
Class 19.1 requirement / Class 19.2 requirement / Action that does not comply / Compliance classification / How to complyREQ 13 / REQ 14 / A non-accredited person assessed and lodged import declarations on behalf of a BIP / Suspend/Revoke / The BIP must ensure only the accredited person assess documentation and lodge import declarations under the arrangement
N/A / REQ 13 / The accredited person has attempted to lodge a commodity that is out of scope and ineligible for AEPCOMM according to Broker Class AA 19.2 commodity list and BICON pathway. / Major / The accredited person must ensure the commodity is in scope of the arrangement by referring to the Requirements for approved arrangement class 19.2: automatic entry processing for commodities and approved AEPCOMM pathways in BICON prior to directing goods using AEPCOMM.
REQ 13 / N/A / The accredited person did not assess the unpack destination correctly, goods were delivered to a rural location and released from biosecurity control without intervention. / Critical / The accredited person correctly assess the unpack destination postcodes for FCL and FCX sea freight in accordance with documents relevant to the class 19.1 AA as stated in REQ 14.
The accredited person did not assess the unpack destination correctly, goods were delivered to a rural location without intervention at a metro location however for further Biosecurity intervention (i.e. consignment is going for inspection). / Major
REQ 13 / N/A / The accredited person did not report any non-commodity concerns to the department through their import declaration and the consignment was released without biosecurity intervention. / Critical / The accredited person must correctly answer the department's general declaration questions and declare any and all non-commodity concerns in the ICS.
REQ 14 / N/A / The accredited person did not report all non-commodity concerns to the department through their import declaration however the consignment was referred for Biosecurity intervention. (For example a consignment declared as being unpacked in a rural destination but had timber packing concerns that were not declared to the department.) / Minor
REQ 15 / REQ 15 / Where BICON requires goods to be managed at a specific class Approved Arrangement (AA) site and the accredited person has directed the goods to another class of AA site. / Minor / The accredited person must enter a correct site location to undertake appropriate biosecurity intervention. For non-commodity concerns this site must be an AA Class 1.1 or 1.3 site only (note: not all AA Class 1.3 sites can conduct Rural Tailgates). For commodity concerns, it must be as per BICON import conditions.
REQ 16 / REQ 16 / The accredited person has failed to enter the AEI number in ICS and the treatment provider was:
- withdrawn/suspended/under investigation and the goods were released from biosecurity control, or
- withdrawn/suspended/under investigation and the goods would have been released from biosecurity control had the consignment not been referred for random document verification.
The accredited person has failed to enter the AEI number in ICS and the treatment provider was withdrawn/suspended/under investigation and the goods are still under biosecurity control for further Biosecurity intervention (i.e. consignment is going for inspection). / Major
The accredited person has failed to enter the AEI number in ICS and the treatment provider was an approved offshore treatment provider. / Minor
N/A / REQ 16 / The accredited person did not report all biosecurity concerns to the department through their import declaration lodgements resulting in goods being released from biosecurity control without correct intervention. (Example: downgrading CP profile question for unfinished timber of pathogen risk species). / Critical / The accredited person must provide information in the declaration that accurately reflects the consignment and all necessary fields that are specific to biosecurity are completed. This includes ensuring community protection questions are answered correctly.
REQ 16 / The accredited person did not report all biosecurity concerns to the department through their import declaration lodgements however goods remain under biosecurity control. / Major
N/A / REQ 16 / The accredited person has failed to declare their electronic certificate (eCert) number in ICS and:
- the goods required the eCert to be entered to be in scope of the arrangement and were released from biosecurity control, or
- the goods required the eCert to be entered to be in scope of the arrangement and were released from biosecurity control had the consignment not been referred for random document verification.
The accredited person has failed to declare their electronic certificate (eCert) number in ICS andthe goods required the eCert to be entered to be in scope of the arrangement however the goods are still under biosecurity control for further Biosecurity intervention (i.e. consignment is going for inspection). / Major
The accredited person has failed to declare their electronic certificate (eCert) number in ICS andthe goods were not assessed under the arrangement. / Minor
REQ 17 / REQ 17 / The accredited person did not provide evidence that they were in possession of all documents required to lodge the full import declaration and:
- the goods were released from biosecurity control without appropriate level of intervention, or
- the goods would have been released from biosecurity control if they had not been referred for random verification.
The accredited person did not provide evidence that they were in possession of all documents required to lodge the full import declaration andthe goods remain under biosecurity control for further Biosecurity intervention (i.e. consignment is going for inspection). / Major
N/A / REQ 18 / The accredited person has failed to apply overarching administrative import declaration requirements of Broker Class AA 19.2 by not including the VIN number(s) as required. / Minor / The accredited person must record the unique identifiers against the vehicle identification number (VIN) field for each line in the import declaration of new and used vehicles
N/A / REQ 19 / The accredited person has failed to apply overarching administrative import declaration requirements Broker Class AA 19.2 by failing to include government certificate number on the line description (such as a phytosanitary certificate number). / Minor / If BICON stipulates a government certificate is required for clearance of a commodity (such as a phytosanitary certificate), then the number must be recorded against the goods description field in ICS.
REQ 18 / REQ 20 / The accredited person requested amendments to documentation that either did not relate to the factual condition of the consignment and/or the accredited person did not retain the request and response of the clearance documentation for the purpose of directing/releasing goods from biosecurity control without further intervention. / Critical / If the accredited person requests amendments to documentation, they must document the request and response and retain these as part of the clearance documentation for the consignment. The BIP must ensure that an accredited person only request amendments to a document if these relate to the factual condition of the consignment.
The accredited person requested amendments to documentation that either did not relate to the factual condition of the consignment and/or the accredited person did not retain the request and response of the clearance documentation however goods remain under biosecurity control. / Major
REQ 19 / REQ 21 / Accredited person has made ICS amendments to import declaration/s to avoid biosecurity goods management outcomes. Note: Accredited persons found to make amendments to deliberately circumvent biosecurity management will result in the individual’s accreditation being revoked. / Suspend/Revoke / The BIP must adhere to biosecurity directions and outcomes of lodgement. Any amendments made must be documented and records maintained per Broker class AA 19.1 REQ 18 & REQ 20 and/or Broker class AA 19.2 REQ20 & REQ 22.
Administration and management requirements
Class 19.1 requirement / Class 19.2 requirement / Action that does not comply / Compliance classification / How to complyREQ 20 / REQ 22 / Failure to create and/or maintain lodgement records and documents / Major / The BIP must ensure that records and documents for each lodgement are maintained for a minimum period of 18 months from the date of assessment
REQ 21 / REQ 23 / Accredited person/s has not maintained records of their training and accreditation. (Failure to maintain up-to-date training is REQ 4 of both Class 19.1 and 19.2 Requirements). Failure to be able to verify training will result in accreditation of the individual being suspended or cancelled. / Minor / The BIP must retain records of accredited persons maintaining up to date relevant training and accreditation, including continuous biosecurity competency completion records.
REQ 22 / REQ 24 / The BIP did not provide the department with records and/or documents within 2 business day of a request, or by the mutually agreed time. / Minor / The BIP must provide the department with records/or documents within 2 business days of such request or at a mutually agreed time.
Resources
Make sure you understand your obligations and comply with requirements for your AA.