5 ACHIEVING COMPLIANCE
5.1 Introduction
The approach to achieving compliance is more than just checklists, manuals, auditing processes or on going training programs. At an industry level, a compliance framework is a comprehensive system
that forms part of the overall approach to ensuring that the Live Export Accreditation Program achieves the desired outcomes required by the industry and its stakeholders including AQIS, the
Government and the wider community.
The key elements of any industry compliance framework include:
Responsibility, Resourcing and Authority
A clearly identified industry body that has the responsibility, authority and appropriate resourcing to ensure that industry
participants understand their compliance obligations.
Participation A clear process for insuring members join a program that
promotes compliance with appropriate standards, codes andor regulations. Industry members must be able to demonstrate an
acceptable level of understanding of the relevant standards and regulations.
Commitment
A clear statement developed by the industry that embraces the industry’s commitment to compliance.
Continuous improvement
An industry approach to ensuring continuous improvement. In particular that procedures adopted by industry participants
reflect best practice in terms of complying with the relevant standardsregulations.
Such continuous improvement processes would include training programs, workshops and guidelines that assist participants with
standardregulation compliance
Incident reporting An industry incident reporting system that is:
Visible; Accessible; and
Responsive.
AuditReview The establishment of an audit process that assesses industry
participant’s compliance with the relevant standardsregulations.
Sanction administration A regime of penalties applying to industry participants, including
the ultimate penalty of removal from the industry program, or other disciplinary measures such as:
The downgrading of membership; or The provision of formal undertakings to the body responsible for
compliance.
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Reportingpublicity A process by which the body responsible for compliance reports
regularly, to relevant stakeholders, key performance indicators that demonstrates, in aggregate, the level of compliance being
achieved by industry participants. It is envisaged that formal undertakings should be a matter of public record and open to
public scrutiny.
Under the current Live Export Accreditation Program, compliance is achieved through two related mechanisms:
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