Compliance classifications for broker class approved arrangements

Department of Agriculture, August 2019

Biosecurity industry participants (BIPs) are responsible for complying with their broker class approved arrangements.

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Biosecurity industry participants (BIPs) are responsible for complying with their broker class approved arrangements.

Broker class approved arrangements are:

  • class 19.1: non-commodity for containerised cargo clearance (NCCC)
  • class 19.2: automatic entry processing for commodities (AEPCOMM).

Make sure you understand requirements and conditions for broker class approved arrangements.

Non-compliance is enforced utilising the Approved Arrangement General Policies in particular Appendix 2: Brokers – monitoring and assessing compliance.

If the BIP does not comply, the department:

  • will use compliance classifications to determine the department’s response
  • may take action against individual associates including accredited persons.

Compliance actions relating to accredited persons may be found in Training and accreditation for broker approved arrangements (class 19.1 and class 19.2).

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Prerequisites for broker class arrangements

Class 19.1

Requirement 1 — The BIP must have obtained a Branch ID from the Department of Home Affairs, enabling the approved arrangement to lodge import declarations in the ICS
Requirement 2 – The BIP must have a minimum of one employed or contracted person who is accredited to undertake activities under the class 19.1 approved arrangement.
Requirement 3 — When applying for an approved arrangement, the BIP must notify the department of accredited persons that will perform the activities on behalf of the BIP.  The BIP must include their accredited person’s customs broker license number, as part of the application.

Class 19.2

Requirement 1 — The BIP must hold an approved 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 — The BIP must have a minimum of one employed or contracted person who is accredited to undertake activities under the class 19.2 AA.
Requirement 3 — When applying for an approved arrangement, the BIP must notify the department of the accredited persons that will perform the approved activities on behalf of the BIP.  They must include their customs broker licence number, as part of the application.
Requirement 4 - A BIP must have a BICON multiple user account that is registered for automatic entry processing for commodities (AEPCOMM) user access to BICON.
Requirement 5 - Accredited persons employed by/contracted to the BIP must be added to the BIP’s BICON multiple user account.

How to comply with conditions

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:

  • Broker approved arrangement class 19.1: non-commodity for containerised cargo clearance (NCCC)
  • Broker approved arrangement 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:

You may see references to ‘AQIS’. This will appear only where ‘AQIS’ remains current in IT system.

General conditions

Class 19.1 and Class 19.2 conditionAction that does not complyCompliance classificationHow to comply
Condition 1The accredited person has not maintained their continued biosecurity competency. (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. MajorThe accredited person must maintain their training and accreditation by under taking annual Continued Biosecurity Competency training as stipulate by the Training and accreditation for broker approved arrangements (class 19.1 and Class 19.2) policy.
Condition 2The accredited person lodging the full import declaration was not accredited for Class 19.1/Class 19.2 at time of lodgement. CriticalThe biosecurity industry participant must ensure that all employed/contracted persons lodging full import declarations are fully accredited at time of lodgement..
Condition 3The 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.
The BIP has not notified the department when the details of the AA manager has changed or the AA manager has been replaced.
Suspend/RevokeThe BIP must notify the department in writing within 15 days when there is a change of approved arrangement Manager, accredited persons join or depart the approved arrangement and when it ceases to employ or contract at least one accredited person.
Condition 4The BIP has not notified the department when they became aware of a change in status or to the status of their associates including accredited persons due to conviction of an offence or order to pay a pecuniary penalty 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. Suspend/RevokeThe 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.
Condition 5The 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/RevokeThe 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
Condition 6BIP 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 2015In 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.
Condition 7BIP has not provided reasonable facilities and assistance as requested by biosecurity officers, biosecurity enforcement officers and department-approved auditors. CriticalIn 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.
 Condition 8BIP has not allowed Department-approved auditors to collect evidence of compliance and non-compliance with AA requirements and conditions. Managed using powers under Chapter 7 of the Biosecurity Act 2015In 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 and conditions by performing actions such as copying documents and taking photographs.

Document assessment compliance (operating conditions)

Class 19.1 conditionsClass 19.2 conditionsAction that does not complyCompliance classificationHow to comply
Condition 11 and Condition 13 Condition 12 and Condition 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 and/or 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.
CriticalThe 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. The accredited person must present all the documentation used to assess their full import declaration to the department upon request.  The accredited person complies with this Condition by ensuring all documentation required to verify the assessment is presented to the department (including lodgement in COLS) upon initial request without the need for additional documentation requests.
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 and/or 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 remain under biosecurity control for further Biosecurity intervention (i.e. consignment is going for inspection). Major
Condition 12 Condition 13 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).
CriticalThe  accredited person must ensure:
  • 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.
Major
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 conditions)

Class 19.1 conditionsClass 19.2 conditionsAction that does not complyCompliance classificationHow to comply
Condition 9 Condition 10A non-accredited person assessed and lodged import declarations on behalf of a BIP. Suspend/RevokeThe BIP must ensure only the accredited person assess documentation and lodge import declarations under the arrangement.
N/A Condition 9The 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. MajorThe 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.
Condition 10 Condition 11The 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). CriticalThe 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.
The accredited person did not report all biosecurity concerns to the department through their import declaration lodgements however goods remain under biosecurity control. Major
Condition 14 N/AThe accredited person did not assess the unpack destination correctly, goods were delivered to a rural location and released from biosecurity control without intervention. CriticalThe 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 Condition 9..
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
Condition 14 N/AThe accredited person did not report any non-commodity concerns to the department through their import declaration and the consignment was released without biosecurity intervention. CriticalThe accredited person must correctly answer the department's general declaration questions and declare any and all non-commodity concerns in the ICS.
The accredited person did not report any non-commodity concerns to the department through their import declaration however goods remain under biosecurity control. Major
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
Condition 15 Condition 15Where BICON requires goods to be managed at a specific class approved arrangement site and the accredited person has directed the goods to another class of approved arrangement site. MinorThe accredited person must enter a correct site location to undertake appropriate biosecurity intervention.  For non-commodity concerns this site must be an appropriate Class 1 site.  For commodity concerns, it must be as per BICON import conditions.
Condition 16 Condition 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.
CriticalThe accredited person must ensure the AQIS Entity Identifier (AEI) is entered into ICS for AFAS, non AFAS, offshore irradiation treatment or any other department arrangement per the requirements of the Minimum documentary and import declarations requirements policy
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 Condition 17The 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 would have been released from biosecurity control had the consignment not been referred for random document verification.
MajorIt is a requirement of the minimum documentary and import declarations requirements policy that the accredited person must enter foreign government electronic certificate numbers in the AQIS document number field and document type in the AQIS document type field in ICS where the department has an agreed arrangement with a foreign government.
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 however the goods are still under biosecurity control for further Biosecurity intervention (i.e. consignment is going for inspection). Minor
N/A Condition 18The 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). MinorIf 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.
N/A Condition 19The 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. MinorThe 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.
The accredited person has not included the VIN number in the VIN field in ICS, however they have included the VIN number in the goods description field in ICS. Nil non-compliance
Condition 17 Condition 20 The BIP has not complied with one or more biosecurity directions resulting in goods bypassing biosecurity controls without correct intervention.CriticalThe BIP must ensure that biosecurity directions generated by AIMS are carried out or arranged to be carried out within the designated AIMS direction timeframe.  If a BIP becomes aware that a third party is not carrying out biosecurity directions they are to inform the department as per Condition 6.
The BIP has not complied with one or more biosecurity directions however the goods remain under biosecurity controlMajor
Condition 18 Condition 21 Goods have bypassed biosecurity controls and the BIP has no evidence recorded of passing on any and/or all relevant directions to third parties within the designated AIMS direction timeframe.CriticalThe 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 Condition 6.
Goods have bypassed one or more biosecurity controls but some intervention has taken place (i.e. Inspection/treatment) and the BIP has no evidence recorded of providing any and/or all of the relevant directions to third parties so that the direction can be carried out within the designated AIMS direction time frame.Major
Condition 19 Condition 22Documentation was amended at the accredited persons request which did not relate to the factual Condition of the consignment and/or the accredited person did not retain the necessary evidence to support the request for amendment and the consignment was released from biosecurity control. CriticalIf 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.  
Documentation was amended at the accredited persons request which did not relate to the factual Condition of the consignment and/or the accredited person did not retain the necessary evidence to support the request for amendment but the consignment remain under biosecurity control. Major
Condition 20 Condition 23Accredited 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/RevokeThe 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 Condition 21 & 23 and/or Broker class AA 19.2 Condition 24 & Condition 26.

Administration and management conditions

Class 19.1 conditionsClass 19.2 conditionsAction that does not complyCompliance classificationHow to comply
Condition 21 Condition 24Failure to create and/or maintain lodgement records and documents MajorThe BIP must ensure that records and documents for each lodgement are maintained for a minimum period of 5 years from the date of assessment
Condition 22 Condition 25Accredited person/s has not maintained records of their training and accreditation.  (Failure to maintain up-to-date training is Condition 1 of both Class 19.1 and 19.2 Conditions).  Failure to be able to verify training will result in accreditation of the individual being suspended or cancelled. MinorThe BIP must retain records of accredited persons maintaining up to date relevant training and accreditation, including continued biosecurity competency completion records.
Condition 23 Condition 26The BIP did not provide the department with records and/or documents within a business day of a request, or by the mutually agreed time. MajorThe BIP must provide the department with records/or documents within a business day of such request or at a mutually agreed time.

Resources

Make sure you understand your obligations and comply with requirements for your AA.

Read:

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Last reviewed: 4 November 2019
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