Appendix A: Performance measurement and reporting The following tables outline the specific detail of the PEO risk control and assurance system’s performance measurement and reporting activities. 2 Authorised Officer (AO) performance Authorised Officer performance Control point Activity Output Collection and verification data point Intervention When intervention occurs Authorised Officer performance Inspection verification AOs are meeting the “Authorised Officers Verification and Performance Standards” Verification team site results: Number of Improvement Notices Timeframe for the next verification Referral to the audit manager or delegate Revocation of appointment a decision by the Delegate subsequent to the issuance of a “Notice of intention to consider revocation of appointment as an AO” Authorised Officer decision Inspection documentation and decision Decision for export is appropriate Export Documentation is complete and accurate Plant Export Management System (PEMS) data (see PEMS data and reports specifications) Periodic or unannounced AO verification Periodic verification timeframes vary depending on verification Unannounced verifications are triggered by circumstances such as documentation anomalies System Check Control point Activity Output Collection and verification data Intervention When intervention occurs Verification activity Verification activities are implemented and resourced appropriately AO verification quality Verification team site Verification management report Verification moderation activities Audit working group Quarterly management reports. Four audit working group teleconferences per annum and face-to-face meetings as required
Control point Verification activity Output Collection and verification data point Intervention When intervention occurs PEMS records Appropriate documents and container certification numbers are correctly allocated in PEMS Containers and transport units are fit for purpose PEMS (see PEMS data and report specifications) Phytosanitary certificate is not issued As required - when documentation is incorrect or incomplete System check Control point Activity output Collection and verification data point Intervention When intervention occurs PEMS Records Validate the accuracy of HUB document checks Phytosanitary certificates are issued to exports that meet importing country requirements PEMS (see PEMS data and report specifications) Supervisory intervention Routinely as part of the supervisor’s role 5 Treatment data Hub document check Control point Verification Activity Output Collection and verification data point Intervention When intervention occurs PEMS records Appropriate documents, treatments and rates are correctly allocated in PEMS Product has been treated to importing country requirements PEMS (see PEMS data and reports specifications) Phytosanitary certificate is not issued As required System check Control point Activity output Collection and verification data point Intervention When intervention occurs
PEMS Records Validate a sample percentage of Documentation Hub documents to the accuracy of Documentation Hub verification Phytosanitary certificates are issued to exports that meet importing country requirements PEMS (see PEMS data and reports specifications) Supervisory intervention Routinely as part of the supervisor’s role Table 6 Registered establishment audits Registered establishment performance Control Activity Output Collection and verification data point Intervention When intervention occurs Registered establishment Audit Ensure the establishment is complying with the department’s “Registered Establishment Audit and Performance Standards” PEO team site “Registered Establishment Audit and Performance Standards” audit Work Instructions Suspension or revocation of registration After a decision by the Delegate subsequent to the issuance of a “Notice of intention to consider suspension or revocation of establishment registration” System Check Control point Activity output Collection and verification data Intervention When intervention occurs Validation activity activities are carried out on time and are resourced appropriately Audit quality Registered establishment results recorded on the PEO audit team site Regular management reports on activities. Moderation activities. Audit working group Quarterly management reports. Four audit working group teleconferences per annum and face-to-face meetings as required
Table 7 Document hub and export certification processes Document Hub document check Control point Verification Activity Output Collection and verification data point Intervention When intervention occurs PEMS records Appropriate documents have been supplied Phytosanitary certificate complies with importing country requirements PEMS (see PEMS data and reports) Phytosanitary certificate is not issued As required System check Control point Activity output Collection and verification data Intervention When intervention occurs PEMS records Sample a percentage of Hub documents for accuracy Phytosanitary certificate complies with importing country requirements PEM (see PEMS data and reports specifications) Supervisory intervention Routinely as part of the supervisor’s role