table of contents - department of agriculture and water ...agriculture.gov.au/style...

Plant exports compliance, approval and running recordsUser Guide v6.2

Table of Contents

Table of Contents2

1.INTRODUCTION3

2.HOW TO ACCESS, COMPLETE AND SUBMIT RECORDS4

2.1 Email address4

2.2 Email subject line4

3.COMPLETING PLANT EXPORTS RECORDS5

3.1PE100 Export Compliance Record5



3.4PE103 Bulk Vessel Approval Record22

3.5PE104 Container Approval Record26

3.6PE105 Bulk Vessel Loading Running Record29

4.EMPTY CONTAINER STICKER STENCIL32

1. INTRODUCTION

The Plant Export Operations Branch has developed a set of export compliance, approval and running records which must be used by Authorised Officers (AOs) nationally.

The table below lists the records:

Record

Purpose

Legislation

PE100 Export Compliance Record

Record the results of inspections for export compliance of Prescribed Grain, Seeds, Nuts, Hay and Straw, Baled Cotton and Forest Products.

Part 5 of Export Control (Plants and Plant Products) Order 2011.


Record the results of inspections for export compliance of Fresh Fruits, Fresh Vegetables, Nursery Stock, Bulbs, Tubers, Cut Flowers and Foliage.

Part 5 of Export Control (Plants and Plant Products) Order 2011 and applicable Importing Country Requirements.


Record the results of inspections for export compliance of Prescribed Grain, Seeds, Nuts and Forest Products exported in bulk in ship hold.


PE103 Bulk Vessel Approval Record

Part A of this record must be used as an Application for Vessel Approval.

Part B of this record must be used to record the results of ship inspections for a Vessel Approval.


PE104 Container Approval Record

Record the results of inspections for Container Approvals.

Part 8 of the Export Control (Plants and Plant Products) Order 2011.

PE105 Bulk Vessel Loading Running Records

Record regular notes regarding findings, loading periods, stoppages etc throughout inspections during bulk vessel loading.

Part 5 of Export Control (Plants and Plant Products) Order2011

2. HOW TO ACCESS, COMPLETE AND SUBMIT RECORDS

The records have been published in the documentation section of the Plant Export Operations Manual on the Department of Agriculture and Water Resources website.

It is the responsibility of each AO to ensure that the correct version of the records are being used to document inspection results and that the record is filled out correctly as set out in this user guide. Failure to comply may result in action by the department including possible revocation of the AOs appointment.

Completed records may be filled out in computerized format. Third party software generated forms are acceptable if they are identical to the manual forms available on the departments website.

A completed record is a declaration by an AO as to the suitability for export of the plants or plant products, container or vessel.

White out cannot be used on records. Any necessary amendments must be crossed out neatly, initialled and dated. An AO who has not carried out the inspection cannot make changes to a record originally signed by another AO.

Dittos () are permitted on records as long as the information is exactly the same and the dittos clearly communicate the required information. For example, commodity, source, line identification, silo number, inspection level and passed columns.

When all details have been completed, any blank space below results must be ruled off. Ruling through or ruling off blank spaces is important to prevent the unauthorised addition of details to the record.

After completing the inspection, the AO must complete the appropriate records and provide a copy to the client and send a copy to the email address as per Section 2.1 of this user guide. The AO must also keep the original inspection record.

2.1 Email address

All completed Export Compliance Records, Container Approval Records and Bulk Vessel Approval Records must be emailed to the National Documentation Hub (NDH) at: [email protected]

2.2 Email subject line

You must use one of the email subject lines below to submit records to the NDH:

PE100 and PE101

Subject line: AO Inspection: AO Name - AO Number - RFP number - Exporter - Date of Departure.

For example: AO Inspection: John Smith - AO 1234 - RFP 6722555 - Top Exports - DOD 11.05.14

PE102

Subject line: AO Inspection: AO Name - AO Number - RFP number - Exporter - Date of Departure.

For example: AO Inspection: John Smith - AO 1234 - RFP 6722555 - Top Exports - DOD 11.05.14

Note: a list of the RFP number(s) must be listed in the body of the email.

PE103

Subject line: AO Inspection: AO Name - AO Number - IMO Number

For example: AO Inspection: John Smith - AO 1234 - IMO 1234567

PE104

Subject line: AO Inspection: AO Name - AO Number - Container number/RFP number

For example: AO Inspection: John Smith - AO 1234 - Container ABCD1234567

Note: if the RFP number(s) is known at the time of inspection, use this instead of the container number.

3. COMPLETING PLANT EXPORTS RECORDS3.1 PE100 Export Compliance Record

The Export Compliance Record (PE100) is to be used for recording the inspection results of all prescribed grain, seeds, nuts, hay and straw, baled cotton and forest products which are not exported in bulk in ship hold(s). The following instructions apply to this record:

A copy of the signed record must be given to the exporter or the agent.

If the goods are being re-inspected after an initial failure, the AO must receive and possess a copy of the previous Export Compliance Record(s) along with treatment certificate(s) if applicable, from the exporter or the agent before commencing the re-inspection.

The Export Compliance Record (PE100) has the following fields:

* denotes a mandatory field

Field Name

Description

Authorised Officer (AO) Name *

Name of the AO conducting the inspection. Record the name of the supervising AO if multiple AOs conduct the inspection. The AO whose name is recorded here must sign the record after the completion of inspection.

AO Number *

Unique number assigned to the AO.

Establishment Name *

Name of the registered establishment where the goods are being inspected.

Estab. No. *

Establishments registered number.

Exporter Name *

Name of the exporter as specified in the Request For Permit (RFP).

RFP Number *

Unique number assigned to the RFP.

Original RFP No. (Re-inspection only)

Where the goods have failed a previous inspection, record the RFP number under which the goods were initially inspected. If re-inspection is requested under same RFP number, then record the same. If the goods are being inspected for the first time record N/A.

Inspection Date *

Date of the inspection.

Inspection Start Time *

Inspection activity commencement time.

Inspection End Time *

Inspection activity completion time.

Product Destination *

Country the goods are being exported to.

Import Permit No

If an Import Permit has been supplied, record the number of the import permit. Otherwise, record Not supplied.

* An Import Permit must be supplied where it is a mandatory requirement as specified in MICoR.

Import Permit Date

If an Import Permit has been supplied, record the date the permit was issued/valid from. Otherwise, record N/A.

Quantity presented *

Total quantity of goods presented for inspection.

Specify appropriate units such as tonnes, cartons, bags, pieces.

Flow Path (Pass/Fail) *

Record the result of flow path inspection and the time it was passed/failed.

Container Number

Unique container number, if applicable. Otherwise, record N/A.

Commodity *

Common name of the commodity as per the RFP.

Source

For traceability, identify the source of the product presented such as Silo Number, Bin Number, Stack Number, Lot Number etc. Otherwise, record N/A. Commercial descriptions such as an invoice number is not acceptable.

No. Of Units *

Record number of units inspected:

For bulk into container: Record bulk

For packaged grain, woodchips, chaff etc: Record number of packages e.g bags, packets

For hay and straw: Record number of bales

For cotton: Record number of bales

For logs: Record number of logs or volume

For timber: Record number of pieces or bundles

Unit Weight *

For bulk into container: Record nett weight of product

For packaged grain, woodchips, chaff etc: Record package weight

For hay and straw: Record N/A

For cotton: Record N/A

For logs: Record N/A

For timber: Record N/A

Specify appropriate weight such as Grm, Kgm, Tne etc.

Total Weight *

Record either No. of Units multiplied by Unit Weight or nett weight of product if no unit weight has been recorded

Specify appropriate units such as Grm, Kgm, Tne etc.

Passed *

Specify Yes or No.

Remarks

Indicate if one of the following is found:

Weed seed W

Rodent R

Live Insect LI

Soil S

Non-infestible material NI

Include general comments including weed seed or insect, if required.

Additional remarks for hay and straw inspections *

For Category A sampling and inspecting:

Sampled 2 bales OR Sampled 0.5kg for each container

For Category B sampling and inspecting:

Sampled 2 bales for sampled containers

Container sighted for each container not sampled

For Category C sampling and inspecting:

Sampled 2 bales for sampled containers

Container verified for containers inspected (doors, seals, floor, walls and residues)

For Category D sampling and inspecting:

Sampled 10 bales for each container

Additional Declarations *

Record the relevant EXDOC endorsement numbers of any additional declarations. Otherwise, record N/A.

Comments

Record comments related to the inspection, if any e.g. fumigation certificate sighted, weed seed certificate sighted.

* For goods exported under Quality Systems Recognition (QSR):

Record establishment QSR number.

Passed Containers

Total number of containers, packages or bales that passed the inspection.

Weight

Sum of weights of commodities in all the passed containers, packages or bales.

Failed Containers

Total number of containers, packages or bales that failed the inspection.

Weight

Sum of weights of commodities in all the failed containers, packages or bales.

Title: Plant exports compliance, approval and running records

Date Published

Current Version Number

Program

Page Number

16 November 2017

6.2

Authorised Officer Program

Page 22 of 32

Title: Plant exports compliance, approval and running records

Date Published

Current Version Number

Program

Page Number

16 November 2017

6.2

Authorised Officer Program

Page 23 of 32

PE100 example for containerised grain

PE100 example for packaged grain

PE100 example for cotton

PE100 example for hay and straw

3.2 PE101 Export Compliance Record

The Export Compliance Record (PE101) is to be used for recording the inspection results of fresh fruits, fresh vegetables, nursery stock, bulbs, tubers, cut flowers and foliage. The following instructions apply to this record.





Field Name

Description

RFP Number *

Unique number assigned to the Request For Permit (RFP).


Name of the AO conducting the inspection.

If multiple AOs conduct the inspection, the AO whose name is recorded here must sign the record after completion of inspection and any other inspecting AOs must be recorded in the Comments field.

AO Number *




Establishment Number *


Exporter Name *

Name of the exporter as specified in the RFP.


Where the goods have failed a previous inspection, record the RFP number under which the goods were initially inspected. If the goods are being inspected for the first time record N/A.

Sampling Rate *

The rate at which samples are drawn from the consignment. e.g. two per cent, 600 units or as specified in a protocol/work plan.

Total Quantity *

Total quantity of goods presented for inspection. (total quantity of consignment must match total quantity stipulated on the RFP).

Target Quantity

This field is completed when the selected sampling rate is being applied across the whole consignment.

Calculate and enter the number of units/packages that must be sampled across the whole consignment. e.g. if a 2% sampling rate is used for a consignment of 400 cartons, 8 cartons must be inspected and is the Target Quantity.

This field is left blank where the client has chosen to have every line on the RFP is inspected separately.

Product origin *

Town or city (spelt out in full) where product was produced/ packed/ inspected. If the location is in a major city, e.g. Adelaide, the suburb does not need to be identified.

Note:

Where the consignment consists of a single line or several lines of product all sourced from the one region, Product Origin will be the region where the product was sourced (not the establishment where it was inspected).

Where the consignment consists of several lines sourced from various regions and consolidated in one establishment, then the Product Origin is the location of the inspecting establishment.

Destination Country *

Country the goods are being exported to as per the RFP.

Inspection Start Date and Time *

Commencement date and time of the inspection.

Inspection End Date and Time *

Completion date and time of inspection.

Import Permit No. *

If an Import Permit is presented, record the number of the import permit. Otherwise, record Not Supplied.

An Import Permit must be supplied where it is a mandatory requirement as specified in MICoR.

Import Permit Date *

If an Import Permit is presented, record the date the permit was issued. Otherwise, record N/A.

Container Number *

Unique container number, if known. Otherwise, record N/A.

Trade Description *

If a trade description has been provided that is consistent with the Export Control (Plants and Plant Products) Order 2011 or protocol requirements, record Yes. Otherwise, record No.

Flow Path Result (Pass/Fail) *

Record the result of flow path inspection (Pass/Fail), including any comments.

Flow path Date and Time*

Record the date and time the flow path was passed or failed (not more than 12 hours prior to commencement of inspection and loading).

RFP Line No. *

The line number of product that is listed on the RFP.

Line Identification *

Identify source of the product as advised in MICoR or protocol requirements. e.g. Grower identification, packer identification

Commodity *

Common name of the commodity as per RFP.

No. of Packages *

Number of packages making up the consignmentmust match the RFP

Packaging *

Record type of units (e.g. pieces of fruit/vegetable, plant, flask, bulb, bags, cartons, bins).

Sampled No. *

Number of units or packages inspected.

Target

This field is completed where the selected sampling rate is being applied separately to every line on the RFP.

Calculate and enter the minimum number of units that must be sampled against each RFP line in the inspection grid.

This field is left blank when the selected sampling rate is being applied across the whole consignment.

Result (Pass/Fail)*

Specify Pass or Fail.

Remarks

Indicate if one of the following has been found:

Live Insect LI

Soil S

Non-infestible material NI

Include general comments, if required. e.g. number of fruit inspected for soil, etc.; number of calyx lifted and inspected.

Additional Declarations *

Record the relevant EXDOC endorsement numbers of any additional declarations if applicable. Otherwise, record N/A.

Comments

Record comments related to the inspection, if any, e.g. transfer certificate sighted.

Total Passed *

Total quantity of goods that passed the inspection.

Specify appropriate units such as pieces of fruit/vegetable, plant, flask, bulb, bags, cartons, bins.

Total Failed

Total quantity of goods that failed the inspection.

Specify appropriate units such as pieces of fruit/vegetable, plant, flask, bulb, bags, cartons, bins.

Authorised Officer Signature and Date*

The signature of the AO and the date. If printed, this must be hand signed by the inspecting AO.

PE101 example

3.3 PE102 Export Compliance Record

The Export Compliance Record (PE102) is to be used for recording inspection results of prescribed grain, seeds, nuts and forest products being exported in bulk in ship hold(s). The following instructions apply to this record:

The record will be completed by the supervising AO by collating relevant details from the Bulk Vessel Loading Running Records (PE105) which are maintained by each AO during the loading of goods.

Since the record is a summary of the Bulk Vessel Loading Running Records, the supervisor must keep a copy of all the individual records for future reference and audits.





** denotes a mandatory field for departmental AOs only

Field Name

Description


Name of the AO conducting the inspection. Record the name of the supervising AO if multiple AOs conduct the inspection. The AO whose name is recorded here must sign the record after the completion of inspection.

AO Number *




* For vessel hold re-inspection of logs at the wharf:If the wharf is not a registered establishment, record the name of the log yard registered establishment where the logs were inspected prior to loading. Record vessel hold re-inspection at [name] wharf in the Comments Field.

Estab. No. *


* For vessel hold re-inspection of logs at the wharf:If the wharf is not a registered establishment, record the registered number of the log yard establishment where the logs were inspected prior to loading. Record vessel hold re-inspection at [name] wharf in the Comments Field.

Exporter Name *

Name of the exporter as specified in the RFP.

RFP Number *


Import Permit No

If an import permit is supplied, record the number of the import permit. Otherwise, record Not Supplied.

* An Import Permit must be supplied where it is a mandatory requirement as specified in MICoR.

Import Permit Date

If an import permit is supplied, record the date the permit was issued. Otherwise, record N/A.

Commodity *

Common name of the commodity as per RFP.

Quantity passed *

Total quantity of goods that passed the inspection.

Also specify the appropriate units e.g. tonnes.


Where a previous inspection of the goods has failed, record the initial RFP number under which the goods were first inspected. If the re-inspection is requested under the same RFP number, then record the same. If the goods are being inspected for the first time, record N/A.

IMO Number *

International Maritime Organisation Number (Lloyds Number) of the vessel.

Vessel Name *

Name of the vessel goods are being loaded into.

Destination *


Inspection Start Date

Date inspection of goods commenced.



Inspection End Date *

Date inspection of goods was completed.



Gross Inspection Time *

Total number of hours spent in inspection activities including waiting periods.

Net Inspection Time *

Actual number of hours spent in carrying out the inspection activities. Deduct break down times from Gross Inspection Time.

Fee For Service Time **

Total number of hours chargeable to the client under fee for service category (include chargeable waiting periods etc). Exclude over time.

Loading Rate (Tonnes/Hr) *

The average hourly rate at which goods have been loaded onto the vessel. (Calculated as Total Quantity Loaded upon Net Loading Time).

Over Time **

Number of hours chargeable to the client at higher penalty rates under various categories (e.g. weekend, public holiday etc). Record number of chargeable hours under different penalty rates separately.

Flow Path (Pass/Fail) *

Record the result of flow path inspection and the time it was passed/failed, including comments.

Silo Number

Unique number of the silo from where goods have been rejected.

Quantity rejected

For each rejection:

Record Action Figure (AF): the amount of goods that have been loaded from the source subsequently rejected for live injurious pests, maximum value of 2000 tonnes per source. The total of all action figures is the cumulative figure and must not exceed 20% of the total ships load (the cumulative rejection limit)

Record Rejection Figure (RF): the amount of goods remaining in the source at time of rejection.

Commodity

Name of the commodity.

Reason for Rejection

Grounds for rejecting goods from the silo.

Additional Declarations

Record the relevant EXDOC endorsement numbers of any additional declarations. Otherwise, record N/A.

Comments

* Record all cells used during loading.

* Record all hatches loaded.

Record any other comments related to the inspection if applicable.

PE102 example

3.4 PE103 Bulk Vessel Approval Record

The Bulk Vessel Approval Record (PE103) is to be used for recording the results of ship hold inspections and the following instructions apply.

This inspection record will serve as both Application for Vessel Approval (Part A) and Vessel Approval (Part B) (or Permission to Load Vessel) for vessels that have passed the inspection.

Part A of the record must be populated by the Ship Owner or his agent and emailed to appropriate Plant Exports mailbox.

Part B of the record must be populated by the AO after completing the vessel inspection. If more than one AO has undertaken the vessel inspection, the name and number of the second AO should be recorded in appropriate fields on the record. If more than two AOs have undertaken the vessel inspection, details of all additional AOs must be recorded in the Remarks section.

For each ship hold inspected, populate the appropriate field with a value from the Key to determine the outcome of inspection for the relevant area. In addition, keep a count of the number of insects found and populate the number against Total No. of insects field. If the number exceeds 50, record the number as 50+.

If the vessel is being re-inspected after an initial failure, the AO must receive and possess a copy of the previous Bulk Vessel Approval Record(s) along with treatment certificate(s) if applicable, from the agent before commencing the re-inspection.

If there are additional areas specific to a vessel that require inspection, use the Additional Areas section to add the relevant details.

A copy of the signed record must be issued to the ship owner or the agent.

The Bulk Vessel Approval Record (PE103) has the following fields:


Field Name

Description

PART A APPLICATION FOR VESSEL APPROVAL

Vessel Name *

Name of the vessel for which holds are being inspected.

IMO Number *


Ship Owner/Agent Name *

Name of the shipping agent or the owner.

Ship Owner/Agent Address *

Australian address of the shipping agent or the owner.

Inspection Port *

Port where the vessel is being inspected.

Arrival Date *

Vessel arrival date at the inspection port.

Arrival Time *

Vessel arrival time at the inspection port.

Loading Port *

Port at which the vessel will be loaded. If more than one Loading Port, record additional ports in the Remarks section.

Loading Berth (s) *

Berth(s) at each port where the vessel will be berthed for loading.

Commodity *

Name of the commodity. If more than one commodity, record additional details in the Remarks section.

Quantity *

Expected amount of goods to be loaded into the vessel (in tonnes).

Package Type *

Type of package the consignment is packed into. e.g. bags, boxes, pallets, bulk etc.

Destination *


Proposed Loading Time *

Expected commencement time to load goods into the vessel.

PART B VESSEL APPROVAL


Name of the AO conducting the inspection. The AO whose name is recorded here must sign the record after completion of the inspection.

AO Number *



Name of the second AO conducting the inspection.

AO Number *

Unique number assigned to the second AO conducting the inspection.

Re-inspection (Yes/No)

If the ship is being reinspected after an earlier failure record Yes. Otherwise, record No.

Marine Surveyor Name *

Name of the marine surveyor as sighted in the Marine Surveyors certificate.

Marine Surveyor Certificate sighted (Yes/No) *

If the ship owner or his agent has submitted a copy of the Marine Surveyors certificate issued by a valid Marine Surveyor, then record Yes. Otherwise, record No.

Note: Sighting the Marine Surveyors certificate is mandatory for the issuance of vessel approval for prescribed goods for consumption.

Inspection Date *

Date of inspection of the vessel.

Start Time *

Vessel inspection commencement time.

End Time *

Vessel inspection completion time.

Remarks

General comments, if required.

Inspection results section*

For each hold proposed to be loaded, each inspection site must have at least one result from the Key recorded.

The remarks section becomes mandatory if anything other than Clear is selected for an inspection site. Remarks should include what action has been taken.

Vessel Approval Issued *

Choose Yes if at least one hold is passed to load and there is no risk of cross-infestation or cross-contamination from other holds or additional areas.

Mark which holds are passed for loading and record the details of any holds which have not been passed for loading.

Record time the vessel approval was issued. This is the time that the inspection was finished and the responsible vessel officer was informed in writing.

Choose No otherwise. Record reason for withholding vessel approval and/or for not passing holds.

PE103 example

3.5 PE104 Container Approval Record

The Container Approval Record (PE104) is to be used for recording the results of empty container inspections and the following instructions apply to the record:

This record will serve as a Container Approval for all containers that have passed the inspection.

A record may only be used for recording results of inspections conducted in a single day.

A record may not be used by more than one AO for recording inspection results in order to maintain traceability between AOs and their inspections.


The Container Approval Record (PE104) has the following fields:


Field Name

Description


Name of the AO conducting the inspection.

AO Number *


Place of Inspection *

Name of the establishment or container yard where the container is being inspected.

Inspection Date *






RFP Number

Unique number assigned to the RFP, if known. If not known, record N/A.

Container Number *

Unique container number.

Inspection Level *

Purpose the container was inspected for Consumable (C) or Non-Consumable (NC).

Passed (Yes/No) *

Record Yes if the container has passed. Record No if the container has failed.

Remarks

Indicate if one of the following was found using the Key:

Live Rodents LR

Live Insects LI

Residue Infestible by Pests - IR

Structural Damage SD

Non-infestible materials/Odour/Water/Rodent carcasses/Rodent droppings - NI

Include general comments specific to the container, if required.

Comments

Record comments related to the overall inspection, if any.

PE104 example

3.6 PE105 Bulk Vessel Loading Running Record

The Bulk Vessel Loading Running Record (PE105) is to be used for making regular notes regarding findings, loading periods, stoppages etc during inspections at bulk terminals and the following instructions apply to the record:

The same record may not be used by more than one AO in order to maintain traceability between AOs and their inspections.

At the end of a shift, the AO must hand over a copy of the record to the supervising AO on duty for consolidation.

The Bulk Vessel Loading Running Record (PE105) has the following fields:


Field Name

Description

Vessel Name *

Name of the vessel goods are being loaded into.

Commodity *

Name of the commodity.

IMO Number *


Estab. No. *

Unique number of the registered establishment.

RFP Number *


Inspection Date *


Start Time *

AO inspection activity commencement time.

Stop Time *

Completion time that inspection activity was either paused or completed by the AO.

Silo Number *

Unique number of the silo from where the product is being loaded onto the vessel on that inspection line.

Hatch Number *

Unique hatch or hold number on the vessel the product is being loaded into.

Shipping System

Belt or Elevator number where applicable.

Ad-Mixture

Details of other specimens that are found in the commodity being loaded.

Weed-Seed

Details of weeds found in the commodity being loaded.

Delays (HH:MM) *

Time elapsed between loading either due to rest breaks taken by the AO or due to other reasons such as rain, machinery breakdown etc.

Remarks

Record relevant comments to support findings recorded in previous columns.

AO Number *


Total Delays

Sum of all the delays on the record.

PE105 example

4. EMPTY CONTAINER STICKER STENCIL

The completed Passed Empty Container sticker is applied to an approved container immediately after the AO has completed the inspection.

The empty container sticker stencil can be downloaded from the Transport unit section of the Plant Export Operations Manual.

The empty container sticker stencil should be printed on Avery Laser Shipping Label sheet (product number L7173) or equivalent sheet. The AO must record the container number, date of inspection, inspection level and AO Number and sign the sticker before applying it on the container.

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