Industry Advice Notice no. 2004/09: Changes to Procedures for NOI's and Electronic Docs
Changes to Procedures for NOI's & Electronic Docs - Horticulture, Grains & Plant Products
Date issued 2 June 2004
This notice is to advise industry of:
(1) Legislative requirements pertaining to the lodgement of a notice of intention to export and the issuance Export Permits; and
(2) Changes to the electronic documentation procedures to ensure that these legislative requirements are met.
It is issued in response to actions of some exporters recently identified by AQIS that are not in compliance with the Export Control Act or subordinate legislation.
A summary of the relevant sections of the legislation and an exporters obligation in relation to the lodgement of a notice of intention to export (NOI) and issuance of the Export Permit Number (EPN) is provided in Attachment 1.
Links to the relevant export legislation are:
Effective immediately the following rules/procedures will apply when lodging a Notice of Intention to Export (Request for Permit) in order to obtain the Export Permit Number.
- The Request For Permit (RFP) containing the information as required under Order 70.1 (refer to Attachment 2), shall be transmitted to EXDOC as a ‘lodge’ message and not as an ‘order’ message;
- RFPs are not to be created and submitted to EXDOC either during an inspection or after the inspection (except in extraordinary circumstances);
- Requests for inspection of consignments under an RFP in EXDOC will not be processed unless the status of the RFP is either INIT or FINL;
- Requests for inspection or actual inspections of consignments will not be accepted/undertaken unless a copy of the RFP is presented to an authorised officer at the appropriate time
- ‘Authorising’ of RFPs shall be undertaken as soon as possible following inspection and must be before or on the date of departure and before the goods are loaded on the ship or aircraft.
Note – issuance of the Phytosanitary certificate does not necessarily have to occur at this time.
- By applying a print indicator of ‘manual’, the RFP shall only attain either INSP or HCRD status, however the EPN shall be issued.
- RFP fields that can be amended after an RFP has been authorised and attained a status of INSP or HCRD are included in Attachment 3.
Canberra office will undertake auditing and reporting of RFPs to ensure compliance with the export legislation and in the event of non-compliance AQIS will consider revoking access to electronic documentation (EXDOC) until compliance can be demonstrated. Repeat breaches of the export legislation will be reported to the AQIS Compliance and Investigation for appropriate action.
New hard coded validation rules that prevent the authorising of an RFP after the date of departure will be implemented in EXDOC from September 2004 to ensure that compliance with the export legislation is achieved .
For further information contact Bev Beacham, EXDOC Administrator (Grain/Horticulture) from the details listed below.
Manager, Plant Programs, AQIS
Contact Officer: Bev Beacham
Telephone: 02 6272 5728
Email: Bev Beacham
Summary of Requirements & Legislation Pertaining to Notice of Intention to Export and Export Permits & Interpretive Notes – Electronic Documentation
A Notice of Intention (NOI) to Export in a form approved by the Secretary is taken to be:-
2/ EX222; or
3/ Request for Permit (RFP)
Note: A NOI is not an Export Permit, but may lead to issuance of an Export Permit if the goods are found to comply with Orders.
Order 69 of the Prescribed Goods (General) Orders
An export permit is granted when:-
1/ A completed EX28 is presented to an authorised officer and the export permit number (EPN) applied accordingly
2/ An RFP is ‘authorised’ by an authorised officer/person and the EPN applied through the EXDOC system.
Note: the RFP number is not the EPN
Order 75 of the Prescribed Goods (General) Orders
RFPs with a status of ‘order’ are deemed not to contain adequate information as cited under Order 70.1 for the purpose of inspection and issuance of the EPN, as the determination of an ‘order’ RFP is:-
When an order has been made on an exporter but full permit details of the export are not yet known and EXDOC performs only limited validation on an ’order’ RFP.
RFPs with an ‘order’ status are not in accordance with Order 70.1.
Part 8, Order 70.1 of the Prescribed Goods (General) Orders
Acceptance of an RFP, and subsequent inspection of goods, that has a status of less than INIT/FINL (ie: is at ‘order’ status) is not in accordance with Order 73.
Certifying an RFP in accordance with Order 73 is undertaken by entering the inspection details into the RFP and saving these details.
Part 8, Order 73 of the Prescribed Goods (General) Orders
The entering of the inspectors name and date(s) of inspection (authorising) to the RFP and saving this information is in accordance with Order 75, as the export permit is only applied to the RFP once it has been authorised.
The RFP number is not the export permit number.
The current practice of ‘authorising’ an RFP after the departure date is in contravention of Orders 68.1(b) and 68.2(b) as the EPN has not been issued prior to the goods being loaded.
Part 8, Order 75 of the Prescribed Goods (General) Orders
To authorise an RFP and have the EPN applied sometime after the inspection has taken place and, in most current cases, after the date of departure is not in accordance with Order 77.
Part 8, Order 77 of the Prescribed Goods (General) Orders
Part 8, Order 70.1 of the Prescribed Goods (General) Orders states:-
Where a person gives notice of intention to export prescribed goods in accordance with order 68, the person shall, where the information is available and in any case before the grant of an export permit, furnish –
(a) the name and address of the person who intends to export the goods;
(b) the name and address of the consignee or the words ‘to order’;
(c) the intended port of loading of the goods;
(d) the intended ship and voyage number or airline flight number;
(e) the intended date of departure of the ship or aircraft onto which the goods are to be loaded;
(f) the intended port of discharge if the goods;
(g) where the country of origin of the goods is not Australia, the country of origin;
(h) the foreign country of intended final destination of the goods;
(i) the place where the goods can be inspected;
(j) the date on which the goods can be inspected;
(k) where a Departmental certificate is to be sought in respect of the goods, that State or Territory in which application will be made;
(l) the number allotted to the relevant registered establishment in the manner specified in paragraph 60(f);
(m) the shipping or other identifying marks relating to the goods;
(n) where available, any identification number that appears on a container system unit and, in relation to that unit, an indication if the goods it will contain;
(o) the number and kind of packages;
(p) a true description of the goods;
(q) where the number of packages declared under paragraph (o) is-
(i) different from the number of packages passed for export, the number of packages that were passed; or
(ii) the same as the number of packages passed for export, the words ‘as submitted’;
(r) the quantity of goods available for inspection;
(s) any other information required by the Secretary; and
(t) a declaration signed by the person giving notice that-
(i) orders that apply to the goods have been complied with; and
(ii) the information contained in the notice is true and correct.
RFP fields which are able to be amended once an RFP has been
Authorised to a status of INSP / HCRD
- Consignee details
- Notify Party details
- Letter of Credit details
- Vessel/Voyage details
- Aircraft/Flight details
- Departure Date
- Shipping Company
- Destination City (Final city)
- Discharge Port
- Container/Seal details added (Horticulture only)
- FOB details (amount/currency)
- Certificate Print Location
- Certificate Print Indicator
- Extra Certificates
- Shipping Marks
- Related Export Permit details (HAL, WEA, etc)