2016-63 - Business Systems Program– Revised Authorised Officer Audit and Performance Standards
18 November 2016
To advise Authorised Officers that the Plant Export Operations Authorised Officer Audit and Performance Standards document has been revised. This version of the policy will be effective from 1 December 2016.
The Plant Export Operations Authorised Officer Audit and Performance Standards (formerly known as the Plant Export Operations Authorised Officer Verification and Performance Standards) establishes the branch’s policy on AO audits and presents the performance standards against which AOs are audited.
Section 45.1 of the Export Control (Plant and Plant Products) Order 2011 provides that the secretary may require the audit of the work of an AO. These audits play a central function of the department’s assurance framework.
AOs agree to participate in scheduled and unannounced audits as part of their Deed of Obligations. The structure, frequency and outcomes for these audits are outlined by the Authorised Officer Audit and Performance Standards.
Summary of changes and key points
- Revised Audit and Performance Standards policy effective from 1 December 2016.
- Changes to terminology (such as ‘audit’ to replace ‘verification’).
- New audit structure including requirements for physical demonstration of export activities.
- Different schedules for periodic audits where AOs are appointed for protocol job functions, policy for unannounced audits remains the same.
- Introduction of weights for corrective action requests (replacing improvement notices).
- Revision of performance standards for AOs.
A summary of frequently asked questions is available in a separate document on the department website.
Authorised Officer responsibilities
AOs agree to participate in audits as part of their Deed of Obligations. AOs who fail to make reasonable efforts to commit to audits are in breach of the Deed of Obligations and risk revocation of their appointment as an AO by the delegate.
If you have any questions regarding this IAN please email: Plant Export Training
Dr Chris Parker
Plant Export Operations Branch