Independent audit summary reports of an Exporter Supply Chain Assurance System (ESCAS)
Exporters must submit independent audit reports to the Department of Agriculture and Water Resources to demonstrate that their approved ESCAS meets regulatory requirements.
There are two types of audit reports:
- The independent initial audit report (IIAR) is the report of an audit to determine whether the exporter's ESCAS complies with regulatory requirements. The exporter must submit the IIAR, as well as the Notice of Intention (NOI), and the Consignment Risk Management Plan, to the department for approval to export livestock. The department considers the IIAR when determining whether or not to approve the supply chain in the ESCAS, and the NOI to export livestock.
An IIAR contains the independent auditor's detailed audit of the supply chain, including a completed animal welfare checklist and an overview of the audit outcomes.
- The independent performance audit report (IPAR) is a report of an audit of the performance of the exporter's ESCAS after livestock have entered the supply chain. IPARs audit whether animal welfare, traceability and control requirements were implemented in accordance with the regulatory framework during the reporting period, and while Australian-sourced livestock were in the supply chain.
The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.
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Table 1: Number of IPARs received
Table 1 shows the number of IPARS received by country for the period 01/09/2013 to 31/12/2013
The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.
Country Exported to | Number of Independent Audit Reports (Performance) Conducted | Exporters | Species Exported |
|---|---|---|---|
Brunei | 4 |
|
|
Indonesia | 42 |
|
|
Israel | 9 |
|
|
Japan | 14 |
|
|
Jordan | 3 |
|
|
Kuwait | 4 |
|
|
Malaysia | 12 |
|
|
Mauritius | 1 |
|
|
Oman | 1 |
|
|
Philippines | 3 |
|
|
Qatar | 2 |
|
|
Sarawak | 2 |
|
|
Singapore | 1 |
|
|
UAE | 4 |
|
|
Vietnam | 4 |
|
|
GoatsTable 2: Number of IPARs received
Table 2 shows the number of IPARS received by country for the period 01/01/2014 to 30/04/2014
The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.
Country Exported to | Number of Independent Audit Reports (Performance) Conducted | Exporters | Species Exported |
|---|---|---|---|
Brunei | 4 |
|
|
Indonesia | 50 |
|
|
Israel | 8 |
|
|
Japan | 14 |
|
|
Jordan | 3 |
|
|
Kuwait | 4 |
|
|
Malaysia | 7 |
|
|
Mauritius | 1 |
|
|
Oman | 2 |
|
|
Philippines | 3 |
|
|
Qatar | 5 |
|
|
UAE | 4 |
|
|
Vietnam | 4 |
|
|
Table 3: Number of IPARs received
Table 3 shows the number of IPARS received by country for the period 01/05/2014 to 31/08/2014
The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.
|
Country Exported to | Number of Independent Audit Reports (Performance) Conducted | Exporters | Species Exported |
|---|---|---|---|
Brunei | 3 |
|
|
Egypt | 2 |
|
|
Indonesia | 70 |
|
|
Israel | 5 |
|
|
Japan | 13 |
|
|
Jordan | 3 |
|
|
Kuwait | 1 |
|
|
Malaysia | 9 |
|
|
Mauritius | 1 |
|
|
Philippines | 3 |
|
|
Qatar | 2 |
|
|
Russia | 1 |
|
|
Sarawak | 2 |
|
|
UAE | 4 |
|
|
Vietnam | 6 |
|
|
Table 4: Number of IPARs received
Table 4 shows the number of IPARS received by country for the period 01/09/2014 to 31/12/2014
The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.
|
Country Exported to | Number of Independent Audit Reports (Performance) Conducted | Exporters | Species Exported |
|---|---|---|---|
Bahrain | 1 |
|
|
Brunei | 5 |
|
|
Egypt | 2 |
|
|
Indonesia | 67 |
|
|
Israel | 6 |
(previously AH and R Schmidt)
|
|
Japan | 13 |
|
|
Jordan | 3 |
|
|
Kuwait | 6 |
|
|
Malaysia | 12 |
|
|
Mauritius | 1 |
|
|
Oman | 2 |
|
|
Philippines | 3 |
|
|
Qatar | 3 |
|
|
Russia | 1 |
|
|
Sarawak | 2 |
|
|
Singapore | 1 |
|
|
UAE | 4 |
|
|
Vietnam | 10 |
|
|
Non-compliances with ESCAS requirements
In addition to the IPARs, which will note any non-compliances the auditor has identified, an exporter may self-report non-compliance, or a third party may report alleged non-compliance.
Non-compliance includes the movement of animals outside an approved ESCAS; non-compliance with the animal welfare checklist; and the provision of late IPARs.
The department’s receipt of self-reported non-compliances from livestock exporters is evidence of the effectiveness of the regulatory system. The self-reporting of non-compliances demonstrates exporter compliance with the conditions of the ESCAS approval and indicates that exporter representatives in the supply chains are detecting non-compliances and implementing corrective action.
The department will assess any alleged non-compliance and investigate if the allegation seems credible. Table 1 and 2 show how the department categorises ESCAS non-compliance:
| Category | Definition of non-compliance |
|---|---|
| No confirmed non-compliance |
|
| Minor |
|
| Major |
|
| Critical |
|
Compliance measures are described in the Guideline for the management of non-compliance.
More information on Compliance and Investigations.
Investigation reports
If the department conducts an investigation, the finalised investigation report is published at Compliance and investigations.