Independent audit summary reports of an Exporter Supply Chain Assurance System (ESCAS)

​​​​Exporters must submit independent audit reports to the Department of Agriculture and Water Resources​ to demonstrate that their approved ESCAS meets regulatory requirements.​

There are two types of audit reports:

  1. The independent initial audit report (IIAR) is the report of an audit to determine whether the exporter's ESCAS complies with regulatory requirements. The exporter must submit the IIAR, as well as the Notice of Intention (NOI), and the Consignment Risk Management Plan, to the department for approval to export livestock. The department considers the IIAR when determining whether or not to approve the supply chain in the ESCAS, and the NOI to export livestock.

    An IIAR contains the independent auditor's detailed audit of the supply chain, including a completed animal welfare checklist and an overview of the audit outcomes.

  2. The independent performance audit report (IPAR) is a report of an audit of the performance of the exporter's ESCAS after livestock have entered the supply chain. IPARs audit whether animal welfare, traceability and control requirements were implemented in accordance with the regulatory framework during the reporting period, and while Australian-sourced livestock were in the supply chain.

The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.

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Table 1: Number of IPARs received

Table 1 shows the number of IPARS received by country for the period 01/09/2013 to 31/12/2013

The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.

Country Exported to

Number of Independent Audit Reports (Performance) Conducted

Exporters

Species Exported

Brunei

4

  • South East Asian Livestock Services Pty Ltd

Tick Goats

Tick Cattle

Indonesia

42

  • Australian Rural Exports Pty Ltd
  • Halleen Australasian Livestock Traders Pty Ltd
  • International Livestock Exports Pty Ltd
  • North Australian Cattle Company
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Israel

9

  • AH and R Schmidt Pty Ltd
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Japan

14

  • Edwards Livestock Company Pty Ltd
  • Elders International Australia Limited

Tick Cattle

Jordan

3

  • Livestock Shipping Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Tick Sheep

Kuwait

4

  • Emanuel Exports
  • EMS Rural Exports
  • International Livestock Exports Pty Ltd
  • Livestock Shipping Services Pty Ltd

Tick Sheep

Malaysia

12

  • Australian Rural Exports Pty Ltd
  • Capricorn
  • International Livestock Exports Pty Ltd
  • Independent Livestock Services Pty Ltd
  • Kennedy Creek Livestock
  • Lembiru Livestock
  • P & D
  • South East Asian Livestock Services Pty Ltd

 

Tick Cattle

Tick Sheep

Tick Goats

Mauritius

1

  • International Livestock Exports Pty Ltd

 

Tick Cattle

Oman

1

  • Emanuel Exports

Tick Sheep

Philippines

3

  • Australian Rural Exports Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Qatar

2

  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Sarawak

2

  • South East Asian Livestock Services Pty Ltd

Tick Cattle

Singapore

1

  • International Livestock Exports Pty Ltd

Tick Sheep

UAE

4

  • Emanuel Exports
  • EMS Rural Exports
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Vietnam

4

  • Halleen Australasian Livestock Traders Pty Ltd
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Table 2: Number of IPARs received

Table 2 shows the number of IPARS received by country for the period 01/01/2014 to 30/04/2014

The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.

Country Exported to

Number of Independent Audit Reports (Performance) Conducted

Exporters

Species Exported

Brunei

4

  • South East Asian Livestock Services Pty Ltd

Tick Goats

Tick Cattle

Indonesia

50

  • Australian Rural Exports Pty Ltd
  • Halleen Australasian Livestock Traders Pty Ltd
  • International Livestock Exports Pty Ltd
  • North Australian Cattle Company
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Israel

8

  • AH and R Schmidt Pty Ltd
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Japan

14

  • Edwards Livestock Company Pty Ltd
  • Elders International Australia Limited

Tick Cattle

Jordan

3

  • Livestock Shipping Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Tick Sheep

Kuwait

4

  • Emanuel Exports
  • EMS Rural Exports
  • International Livestock Exports Pty Ltd
  • Livestock Shipping Services Pty Ltd

Tick Sheep

Malaysia

7

  • Australian Rural Exports Pty Ltd
  • Capricorn
  • International Livestock Exports Pty Ltd
  • Independent Livestock Services Pty Ltd
  • Lembiru Livestock
  • South East Asian Livestock Services Pty Ltd

Tick Cattle

Tick Sheep

Tick Goats

Mauritius

1

  • International Livestock Exports Pty Ltd

 

Tick Cattle

Oman

2

  • Emanuel Exports
  • EMS Rural Exports

Tick Sheep

Philippines

3

  • Australian Rural Exports Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Qatar

5

  • Emanuel Exports
  • EMS Rural Exports
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

UAE

4

  • Emanuel Exports
  • EMS Rural Exports
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Vietnam

4

  • North Australian Cattle Company
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Table 3: Number of IPARs received

Table 3 shows the number of IPARS received by country for the period 01/05/2014 to 31/08/2014
The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.


Country Exported to

Number of Independent Audit Reports (Performance) Conducted

Exporters

Species Exported

Brunei

3

  • South East Asian Livestock Services Pty Ltd

Tick Goats

Tick Cattle

Egypt

2

  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Indonesia

70

  • Australian Rural Exports Pty Ltd
  • Frontier International
  • Frontier International Northern
  • Halleen Australasian Livestock Traders Pty Ltd
  • International Livestock Exports Pty Ltd
  • North Australian Cattle Company
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Israel

5

  • Livestock Shipping Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Tick Sheep

Japan

13

  • Edwards Livestock Company Pty Ltd
  • Elders International Australia Limited

Tick Cattle

Jordan

3

  • Livestock Shipping Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Tick Sheep

Kuwait

1

  • Livestock Shipping Services Pty Ltd

Tick Sheep

Malaysia

9

  • Australian Rural Exports Pty Ltd
  • Capricorn Pastoral
  • Frontier International
  • Halleen Australasian Livestock Traders Pty Ltd
  • Ikhlas Holdings Pty Ltd
  • International Livestock Exports Pty Ltd
  • Lembiru Livestock
  • South East Asian Livestock Services Pty Ltd

Tick Cattle

Tick Sheep

Tick Goats

Mauritius

1

  • International Livestock Exports Pty Ltd

 

Tick Cattle

Philippines

3

  • Australian Rural Exports Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Qatar

2

  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Russia

1

  • Livestock Shipping Services Pty Ltd

Tick Cattle

Sarawak

2

  • South East Asian Livestock Services Pty Ltd
  • South East Asian Livestock Services Pty Ltd

Tick Cattle

UAE

4

  • Emanuel Exports
  • EMS Rural Exports
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Vietnam

6

  • Halleen Australasian Livestock Traders Pty Ltd
  • North Australian Cattle Company
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Table 4: Number of IPARs received

Table 4 shows the number of IPARS received by country for the period 01/09/2014 to 31/12/2014
The department considers IPARs when determining whether or not to approve subsequent NOIs to export livestock.


Country Exported to

Number of Independent Audit Reports (Performance) Conducted

Exporters

Species Exported

Bahrain

1

  • Emanuel Exports Pty Ltd

Tick Sheep

Brunei

5

  • South East Asian Livestock Services Pty Ltd

Tick Cattle

Tick Goats

Egypt

2

  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Indonesia

67

  • Australian Rural Exports Pty Ltd
  • Frontier International Northern Pty Ltd
  • Halleen Australasian Livestock Traders Pty Ltd
  • International Livestock Exports Pty Ltd
  • North Australian Cattle Company Pty Ltd
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Israel

6

  • Livestock Shipping Services Pty Ltd
  • Otway Livestock Exports Pty Ltd

(previously AH and R Schmidt)

  • Wellard Rural Exports Pty Ltd

Tick Cattle

Tick Sheep

Japan

13

  • Edwards Livestock Company Pty Ltd
  • Elders International Australia Limited

Tick Cattle

 

Jordan

3

  • Livestock Shipping Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

Tick Sheep

Kuwait

6

  • Emanuel Exports Pty Ltd
  • EMS Rural Exports Pty Ltd
  • International Livestock Exports Pty Ltd
  • Livestock Shipping Services Pty Ltd

Tick Sheep

Malaysia

12

  • Australian Rural Exports Pty Ltd
  • Capricorn Pastoral
  • Halleen Australasian Livestock Traders Pty Ltd
  • International Livestock Exports Pty Ltd
  • Jamie McMillan Brown
  • Lembiru Livestock Pty Ltd
  • P & D Exports Pty Ltd
  • South East Asian Livestock Services Pty Ltd

Tick Cattle

Tick Goats

Tick Sheep

Mauritius

1

  • International Livestock Exports Pty Ltd

Tick Cattle

Oman

2

  • Emanuel Exports Pty Ltd
  • EMS Rural Exports Pty Ltd

Tick Sheep

Philippines

3

  • Australian Rural Exports Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Cattle

 

Qatar

3

  • Emanuel Exports Pty Ltd
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Russia

1

  • Livestock Shipping Services Pty Ltd

Tick Cattle

Sarawak

2

  • South East Asian Livestock Services Pty Ltd

Tick Cattle

Singapore

1

  • International Livestock Exports Pty Ltd

Tick Sheep

UAE

4

  • Emanuel Exports Pty Ltd
  • EMS Rural Exports Pty Ltd
  • Livestock Shipping Services Pty Ltd

Tick Cattle

Tick Sheep

Vietnam

10

  • Frontier International Northern Pty Ltd
  • Halleen Australasian Livestock Traders Pty Ltd
  • International Livestock Exports Pty Ltd
  • North Australian Cattle Company Pty Ltd
  • South East Asian Livestock Services Pty Ltd
  • Wellard Rural Exports Pty Ltd

Tick Buffalo

Tick Cattle

 

Non-compliances with ESCAS requirements

In addition to the IPARs, which will note any non-compliances the auditor has identified, an exporter may self-report non-compliance, or a third party may report alleged non-compliance.

Non-compliance includes the movement of animals outside an approved ESCAS; non-compliance with the animal welfare checklist; and the provision of late IPARs.

The department’s receipt of self-reported non-compliances from livestock exporters is evidence of the effectiveness of the regulatory system. The self-reporting of non-compliances demonstrates exporter compliance with the conditions of the ESCAS approval and indicates that exporter representatives in the supply chains are detecting non-compliances and implementing corrective action.

The department will assess any alleged non-compliance and investigate if the allegation seems credible. Table 1 and 2 show how the department categorises ESCAS non-compliance:

Table 1—Categories of ESCAS non-compliance
CategoryDefinition of non-compliance
No confirmed
non-compliance
  • No substantiated information confirming failure to comply with the approved exporter supply chain assurance system or failure to meet the control, traceability or animal welfare outcomes.
Minor
  • A failure to comply with the approved exporter supply chain assurance system which is not likely to result in systemic failure or reduced ability to meet the control, traceability or animal welfare outcomes.
  • Potential to affect control, traceability or animal welfare outcomes.
Major
  • A failure to comply with the approved exporter supply chain assurance system which is likely to result in systemic failure or materially reduced ability to meet the control, traceability or animal welfare outcomes.
  • A number on minor non-compliances which are likely to result in systemic failure can be considered to be major non compliance.
  • Likely to affect control, traceability or animal welfare outcomes.
Critical
  • A failure to comply with the approved exporter supply chain assurance system which has led to the control, traceability or animal welfare outcomes not being met.
  • Certain to affect control, traceability or animal welfare outcomes.

Compliance measures are described in the Guideline for the management of non-compliance.

More information on Compliance and Investigations.

Investigation reports

If the department conducts an investigation, the finalised investigation report is published at Compliance and investigations.

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