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Quarantine laws and the role of AQIS
Australia's export and quarantine laws
Co-regulation
Consequences of breaches
Responsibilities
What can you do?
Contacts
Complaints
Further information
Australia's export and quarantine laws
If you export food (meat, fish, seed, grains, fruit and vegetables) or livestock, or you import goods into Australia, you should be aware of your responsibilities under Australian law.
Australia's export and quarantine laws protect Australia's animal, plant, human health and the environment and they also provide improved market access opportunities for Australian food and other agricultural products. They ensure that export products meet importing countries requirements.
Any illegal activity can undermine Australia's high export reputation and access to overseas markets. And the careless or illegal importation of products carrying diseases or pests can seriously affect the health of Australia's people, animals and plants.
Co-regulation
Government and industry have adopted firm co-regulation. AQIS sets the requirements in law, while industry implements management systems to achieve compliance.
AQIS systems verify compliance and where there is non-compliance, AQIS Compliance and Investigations takes action by prosecution or by administrative sanction.
Consequences of Breaches
Failure to comply with the laws may result in heavy fines or imprisonment. All serious breaches of laws administered by AQIS are investigated by specialist investigators and prosecution can be expected where a breach of legislation is established.
Minor breaches may result in a warning or Infringement Notice and fine. AQIS may also use the provisions of other legislation where relevant.
Compliance and Investigations are compelled to apply the requirements of procedural fairness when conducting enforcement. This means that a person found to have engaged in non-compliance must be given an opportunity to be heard and to respond.
Achieving compliant behaviour
In pursuit of compliant behaviour we wish to achieve the best result possible in the public interest. Any non-compliance with AQIS administered legislation will result in enforcement or a sanction being applied.
AQIS concentrates the majority of its resources to encourage and educate persons to comply voluntarily with the laws and regulations.
We endeavour to provide education, advice and outreach wherever possible. However, sanction action could include negotiation, warnings and advice, withdrawing approvals/permits and applying increased audit or inspection.
Prosecution will be pursued where a contravention is serious and gives rise to an immediate risk to export control or to animal, plant, public health and safety and the environment.
Enforcement can involve seizing offending items or other articles, revocation of export registration or quarantine approvals, together with criminal prosecution action, which could result in jail sentences and fines.
The regulatory pyramid is used by AQIS as a reference for action on non-compliance issues.
In all cases where there is evidence of criminal intent, AQIS consult with the Commonwealth Director of Public Prosecutions for advice.
Responsibilities
Compliance and Investigations has two main areas of responsibility:
- Compliance Operations is responsible for information management and for dealing with breaches of legislation. Compliance staff investigate reports of suspected or alleged breaches of legislation and, where a prima facie case exists, a brief of evidence is sent to the Commonwealth Director of Public Prosecutions.
- Integrity reviews and assesses the integrity and propriety of companies and individuals to ensure our standing as a reputable exporter is maintained. These reviews may result in sanction action which could lead to revoking export registration.
Compliance Operations
Role
Our core function is to detect, investigate and prosecute where export or food importation and quarantine laws have been broken. We encourage voluntary compliance with the laws, but take prosecution action against offenders where appropriate and successful prosecutions can result in a criminal conviction. We also take administrative sanction action that can result in revoking export registration.
Our approach
We strive to resolve issues by open and cooperative negotiation wherever possible. However, serious and/or intentional breaches of legislation are vigorously pursued and prosecution action is taken. Administrative sanctions can follow.
Competencies and standards
We have professional, trained and experienced staff. Our investigators meet the fraud control competency standards required by the Commonwealth and our investigators hold certificates in fraud control investigation prevention and detection or higher qualifications.
Powers
Our investigators have powers under relevant Commonwealth legislation, that include the authority to search premises and to seize goods. In these situations the rights of an individual are always respected and explained during an investigation.
Accountability
We report directly to the Executive Director of AQIS and to other senior AQIS management on our performance. Our management system provides the basis for our quality service delivery and ensures continuous improvement and effectiveness.
We are audited by external auditors as part of the accreditation process and the Australian Federal Police conduct quality assurance reviews of our operations, investigations and briefs of evidence to ensure that they meet standards of Commonwealth best practice.
Our decisions and actions are also subject to scrutiny by the Commonwealth Ombudsman, the Privacy Commissioner and the Administrative Appeals Tribunal.
Education
We believe that education is important for achieving voluntary compliance with the law. Our staff also visit export registered establishments and quarantine premises to discuss problems and in conducting investigations we often identify system weaknesses and suggest rectifying system errors to reduce risks.
Integrity Review
This advice relates to administrative sanctions, not criminal sanctions that result in prosecution and conviction following criminal investigations conducted by C&I investigations staff.
Role of Integrity Area
There is an established and specialised integrity area within Compliance and Investigations. It is responsible for administrative reviews and enforcing administrative sanctions, rather than criminal sanctions. Sanctions are imposed against export-registered establishments or individuals in positions of management or control of operations who have jeopardised the good reputation of Australia’s food industries in our export markets.
Australia’s reputation as an exporter of excellent food products relies on high standards which can only be maintained if export industries observe Australia’s strict food export laws. Our valuable overseas markets must be protected.
What do we mean by the term 'integrity'?
The terms ‘fit and proper person’ and integrity are not defined in the legislation. However we define integrity as:
- Wholeness
- Soundness (both operational and financial)
- Uprightness (good reputation)
- Honesty
- Trustworthiness.
Producers of ‘prescribed goods’ which include, meat, fish, grains, dairy, fruit and vegetables must do the right thing and be able to prove to overseas countries that they conform to the highest standards of production, food safety and accurate labelling.
Reviews
The integrity area conducts full and detailed ‘fit and proper person’ reviews. Integrity checks are conducted where ever an application is made for export registration. Checks are also conducted for renewals and transfer of registration and applications when registered establishments come under the control of new managers. And an ‘issue of concern’ can be investigated at any time.
Negotiation
In many cases a negotiated outcome is achieved, but if the issues cannot be mutually resolved, administrative sanctions may be imposed.
What sort of things do we take into consideration?
When conducting an administrative review the factors that we take into account include whether:
- the occupier of an establishment, or applicant for registration has a serious criminal conviction
- a senior or influential person in the organisation has been convicted of a serious criminal offence
- there is money owing to the Commonwealth
- there is a history of non-compliance, or non-conformity with the rules
- the occupier/applicant has a good reputation for honesty, competency and ability in the relevant industry
- the occupier/applicant has a good reputation in business and a good character, and
- the occupier/applicant is of sound financial standing.
What is the result of a review?
An integrity review may result in:
- No further action because the issue has been resolved
- Payment of outstanding debts, or lodgement of monetary bonds
- Voluntary restructuring of company operations, procedures or staff to ensure integrity
- Voluntary acceptance of conditions and/or restrictions to an occupier’s licence
- A letter of warning of possible action in any future offence or incident
- Refusal to approve an application
- Revocation of an occupier’s export registration.
How do we go about conducting a review?
When an Integrity Review detects an ‘issue of concern’ a letter is prepared that sets out the issue, explains the possible outcomes of review, asks questions about the issue and invites a written submission.
The subject is usually contacted by telephone and informed of the review and that a letter will be sent to them seeking a submission.
They are usually given a period of 30 days to respond, after which time all the evidence is considered.
If the people involved are aggrieved by the decision they are advised of their appeal or review rights.
It is important that the person is honest and open during the review process. If the issues of concern are not addressed, or if there is evidence of non-compliance it is more likely sanctions will be applied.
Coercive Powers
A notice may be issued requiring the provision of information or particular documents for prescribed goods. There is a penalty of imprisonment for 12 months if this is not complied with, however the information or document is not admissible in evidence.
We prefer to rely on a negotiated and cooperative approach and the full powers under the legislation are not usually implemented if full cooperation, openness and candour are displayed in the integrity review.
Sanctions
Administrative sanctions are usually applied when all other approaches have failed. If the occupier or a person in management and control is found to be not a fit and proper person the consequences could be revocation of the export registration of the premises or refusal of the application.
Sanctions are designed to reduce the chance of unacceptable individuals and companies operating in export food industries.
Appeal process
A party aggrieved by the initial decision can apply for an internal review and receive a second decision. If still aggrieved, they can then appeal to the Administrative Appeals Tribunal.
Privacy
AQIS is required to protect your privacy and may not disclose information unless disclosure is sanctioned or required by law. AQIS will treat any business information obtained during administrative reviews as “commercial-in-confidence” and will hold it securely.
Procedural Fairness
In all administrative reviews we are committed to demonstrating genuine procedural fairness. In brief, our attitude to procedural fairness is reflected in every aspect of our work, from the opportunities given to parties for a full hearing to the detailed information and explanations provided at every step in the review process.
What can you do?
If you work cooperatively with AQIS you can ensure that you comply with the laws and the rules and regulations. We seek voluntary compliance with the laws and can help you by providing advice, education and risk assessments. Criminal and administrative sanctions are a necessary last resort.
If you suspect any illegal or criminal activity you should notify us (anonymously if you wish) on the Redline number 1800 803 006, or by phone, fax or email.
Contact
Our central office is in Canberra and we have regional offices in Brisbane, Sydney, Melbourne, Adelaide and Perth, and our operations cover all areas within Australia and the Torres Strait. The AQIS Redline is for people to contact us anonymously about any compliance or integrity matter or issue of concern. The toll free number is 1800 803 006.
Complaints
It you are unhappy with our service or the way we handled an incident you can contact the Regional Investigations Manager, or a Manager in Central Office to make a complaint. Or you can complain to the Commonwealth Ombudsman whose phone number can be found in any white pages phone book.
If your complaint relates to ethical standards or dishonesty you can contact the Department of Agriculture, Fisheries and Forestry Business Ethics and Internal Security Unit toll free on 1800 813 753.
Further information
You can contact us directly if you require further information, assistance, or advice by phone, fax or email.
Integrity issues may be referred to the Manager of the Integrity Unit in Canberra. You can also write, or email the National Manager.