HANDLING PROCEDURES
FOR
REGULATED AGENT REGIME (RAR)
(effective from 15 July 2013 until a date to be announced by Civil Aviation Department)
TABLE OF CONTENTS
PART A
1.
RECOGNITION OF KNOWN CONSIGNOR AND ACCOUNT CONSIGNOR
2.
ALLOCATION OF KNOWN CONSIGNOR CODES, ACCOUNT CONSIGNOR
CODES, REGULATED AGENT CODES AND SECURITY STATUS
3.
PROCESSES OF CARGO FROM KNOWN CONSIGNORS, ACCOUNT
CONSIGNORS AND UNKNOWN CONSIGNORS
4.
INTER-REGULATED AGENT (RA) HANDLING :
a)
CO-LOADING: RA(TENDERING)  RA(RECEIVING)
b)
MASTER AIR WAYBILL ASSIGNMENT BETWEEN RAs
PART B
1.
ABOUT REGULATED AGENT REGIME
2.
NOTICES TO REGULATED AGENT
3.
RAR TRAINING
4.
EXEMPTED CARGO
5.
NOTIFICATION OF CHANGE OF COMPANY PARTICULARS
Initial Publication
July 1999
First Amendment
January 2000
Second Amendment
February 2000
Third Amendment
February 2001
Fourth Amendment
February 2003
Fifth Amendment
August 2003
Sixth Amendment
February 2004
Seventh Amendment
June 2013
Eighth Amendment
July 2013
Notes:
Since the publication of the Handling Procedures for Regulated Agent Regime, the document has been a
living document. As such, the document may be revised and updated from time to time.
July 2013
Eighth Amendment (E)
PART A
1.
RECOGNITION OF KNOWN CONSIGNOR AND ACCOUNT CONSIGNOR
1.1
Known Consignor
1.1.1
To be recognized as known consignor, the consignor:-
(a)
reviews and rectifies its existing security operations to meet the requirements stipulated in Part
A of the Requirement Document for Consignor; and
(b)
commits itself to the compliance with the requirements by submitting a completed Known
Consignor Declaration of Compliance to its partnering regulated agent or aircraft operator
(airline) who receives cargo consignment from the consignor.
1.1.2
After the partnering regulated agent or airline who receives cargo consignment from the consignor has
verified the identity of the consignor (e.g. check of business registration document), a unique known
consignor code% is allocated to the consignor by the regulated agent or the airline to recognize the
known consignor status of the consignor.
1.2
Account Consignor
1.2.1
To be recognized as account consignor, the consignor:(a)
reviews and rectifies its existing security operations to meet the requirements stipulated in Part
C of the Requirement Document for Consignor; and
(b)
commits itself to the compliance with the requirements by submitting a completed Account
Consignor Declaration of Compliance to its partnering regulated agent or airline who receives
cargo consignment from the consignor.
1.2.2
After the partnering regulated agent or airline who receives cargo consignment from the consignor has
verified the identity of the consignor (e.g. check of business registration document), a unique account
consignor code% is allocated to the consignor by the regulated agent or the airline to recognize the
account consignor status of the consignor.
1.3
Regulated Agent or Aircraft Operator (Airline)
1.3.1
To recognize a consignor as known consignor / account consignor, the partnering regulated agent or airline
who receives cargo consignment from the consignor:-
1.3.2
(a)
verifies the identity of the consignor (e.g. check of business registration document); and
(b)
requires the consignor to submit a completed Known Consignor Declaration of Compliance /
Account Consignor Declaration of Compliance.
The regulated agent or airline places its recognized known consignor / account consignor onto its
register of known consignors / register of account consignors and allocates a unique known consignor
code / account consignor code% to the consignor.
% see PART A SECTION 2 - ALLOCATION OF KNOWN CONSIGNOR CODES, ACCOUNT CONSIGNOR
CODES, REGULATED AGENT CODES AND SECURITY STATUS
July 2013
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Eighth Amendment (E)
Facilitation Arrangement on the Known Consignor Aviation Security Declaration after 15 July 2013
The Civil Aviation Department announced a facilitation arrangement on 12 July 2013 that the validity of the
Known Consignor Aviation Security Declaration (KCASD), which was signed and submitted on or before 11
July 2013 by a known consignor (KC) who has yet to submit the Known Consignor Declaration of Compliance
(KCDoC) / Account Consignor Declaration of Compliance (ACDoC) to its partnering regulated agents (RAs) or
aircraft operators (airlines), may be extended by its partnering RAs or airlines.
The facilitation arrangement will enable the operational readiness of the consignors in submitting the KCDoC /
ACDoC to be continuously reviewed. A two weeks' notice will be given by the Civil Aviation Department on its
webpage prior to the cessation of the above facilitation arrangement. The RAs and airlines are urged to continue
to coordinate with their partnering consignors in submitting the KCDoC / ACDoC as soon as possible.
The facilitation arrangement is conditional upon:
(1) The extended validity is applicable only to the KCASD signed and submitted on or before 11 July 2013 by
the concerned consignor who has yet to submit the KCDoC / ACDoC to its partnering RAs or airlines under the
new RAR.
(2) The air cargo is required to be consigned and handled in accordance with the Handling Procedures for
Regulated Agent Regime (Seventh Amendment (June 2013) or any edition published thereafter) by the
concerned consignor and its partnering RAs or airlines under the new RAR.
(3) The RAs and airlines under the new RAR, who recognize KCs through the facilitation arrangement after 15
July 2013, are required to maintain the records associated with the air cargo consigned by the KCs and to submit
the records of the preceding half month to the Civil Aviation Department on the 1st and 15th day of each month
starting from August 2013.
July 2013
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Eighth Amendment (E)
1.4
Re-validation
1.4.1
The recognition of known consignor shall be re-validated every 3 years.
1.4.2
The recognition of account consignor shall be re-validated every 5 years.
1.5
Register of Known Consignors / Register of Account Consignors
A register of a regulated agent’s or an airline’s valid known consignors / account consignors shall contain
the following company particulars of each of the known consignors / account consignors:-
(i)
the unique known consignor code / account consignor code allocated by the partnering regulated agent /
airline,
(ii)
the company name as shown in the business registration document, like the Business Registration
Certificate in Hong Kong SAR, issued by the government of the country with which the consignor is
registered (BR document),
(iii)
the unique registration number of the aforesaid BR document,
(iv)
the company address as shown in the aforesaid BR document, and
(v)
the full name of the person responsible for application and supervision of the implementation of cargo
security of the known consignor / the account consignor. The name should be the same as that shown in
passport, national identity card or registry of birth record.
1.6
Known Consignor Declaration of Compliance / Account Consignor Declaration of Compliance
1.6.1
Templates of the Known Consignor Declaration of Compliance and Account Consignor Declaration of
Compliance are at Annex 1a and Annex 1b respectively.
1.6.2
If a known consignor with multiple sites within and/or outside Hong Kong (where items, products, goods
or consignments designated as air cargo are prepared, packaged and/or stored) and the site address is
different from the company address (as shown in the BR document) of the known consignor, the known
consignor shall provide the site address in the Known Consignor Aviation Security Declaration (before 15
July 2013) or the Known Consignor Declaration of Compliance (from 15 July 2013). The known
consignor may consider submitting one completed Known Consignor Aviation Security Declaration
(before 15 July 2013) or Known Consignor Declaration of Compliance (from 15 July 2013) for all such
sites and use an appendix to list the addresses of all such sites (each with a unique known consignor code)
in order to reflect the site-specific principle of known consignor.
The same principle also applies to account consignor (from 15 July 2013).
Generally speaking, the aforesaid site address should be the address as appeared on the related shipping
documents such as Shipper's Letter of Instructions, House Air Waybill etc.
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Eighth Amendment (E)
2.
ALLOCATION OF KNOWN CONSIGNOR CODES, ACCOUNT CONSIGNOR CODES,
REGULATED AGENT CODES AND SECURITY STATUS
2.1
Allocation of Known Consignor Codes (KC Code) / Account Consignor Codes (AC Code)
2.1.1
A unique known consignor code / a unique account consignor code shall be allocated by the partnering
regulated agent or airline to each of its recognized known consignors / account consignors.
2.1.2
A regulated agent or an airline can allocate the unique known consignor codes / account consignor codes
in its own format and maintains a register of its recognized known consignor / account consignor in order
to facilitate the annotation of known consignor code / account consignor code on the shipping documents
(e.g. Shipper’s Letter of Instructions, House Air Waybill). An example of the known consignor code
system / account consignor code system is as shown below.
Known Consignor
“KC” + Initials of known consignor company’s name + 3 digit sequence number
example:
“KCXYZ002”
Account Consignor
“AC” + Initials of account consignor company’s name + 3 digit sequence number
example:
2.1.3
“ACXYZ003”
Note: A regulated agent may produce its own known consignor code / account consignor code
system and format.
An airline allocates a known consignor code / an account consignor code in accordance with the formats
below.
Known Consignor
“KC” + Unique identification number (5 digits) + IATA carrier code
example:
“KC23456CX”
Account Consignor
“AC” + Unique identification number (5 digits) + IATA carrier code
example:
“AC23456CX”
2.1.4
An airline annotates known consignor code / account consignor code in the ”Signature of Shipper or his
Agent” box of a Master Air Waybill.
2.2
Allocation of Regulated Agent Codes (RA Code)
2.2.1
Civil Aviation Department allocates a regulated agent code to every regulated agent in Civil Aviation
Department’s register in accordance with the format below.
“RA” + Unique registration number (4 digits) + 1 Check digit
example:
2.2.2
2.2.3
“RA34567”
A regulated agent shall annotate its regulated agent code in the "Signature of Issuing Carrier or its Agent"
box at the bottom right corner of a Master Air Waybill (see Annex 2a) if the cargo is tendered as known
cargo.
Note: Airlines require that:
i) a regulated agent must type its FULL company name in the "Issuing Carrier's Agent Name and
City" box at the top of a Master Air Waybill; and
ii) the regulated agent code must match with the company's name mentioned in i) (see Annex 2a).
Civil Aviation Department maintains a register of valid regulated agents. The register is available at the
website:http://www.cad.gov.hk/reports/ra_2.pdf
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Eighth Amendment (E)
2.3
Allocation of Security Status
2.3.1
A regulated agent annotates “SPX” on "Signature of Issuing Carrier or its Agent" box at the bottom right
corner of a Master Air Waybill immediately above its regulated agent code (see Annex 2a) if the cargo is
received from a known consignor / the cargo has been cleared by a security control acceptable to Civil
Aviation Department and is tendered as known cargo.
2.3.2
A regulated agent annotates “SCO” on "Signature of Issuing Carrier or its Agent" box at the bottom right
corner of a Master Air Waybill immediately above its regulated agent code (see Annex 2a) if the cargo is
received from an account consignor and is tendered as known cargo.
2.3.3
A regulated agent shall not annotate any security status or any regulated agent code on a Master Air
Waybill (see Annex 2b) if the cargo is tendered as unknown cargo.
2.3.4
If the security status of cargo consignments loaded in different Unit Load Devices (ULD) under the same
Master Air Waybill are different, a regulated agent annotates the respective security status next to the
corresponding ULD number in the same Master Air Waybill. (see Annex 2c)
Note:
If the master air waybill of a consignment does not bear any security status, the consignment shall
be treated as unknown cargo.
July 2013
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Eighth Amendment (E)
3.
PROCESSES OF CARGO FROM KNOWN CONSIGNORS, ACCOUNT CONSIGNORS AND
UNKNOWN CONSIGNORS
3.1
Under the regime a consignor is the entity who offers a cargo consignment to a cargo agent or an airline
for carriage by a flight departing Hong Kong. Below are the 4 typical channels through which a
consignment can be offered to an airline under the regime.
Note:
3.2
“CTO” = Cargo Terminal Operator
Freighter = All-cargo Aircraft
3.1.1
Known
Consignor
 Regulated Agent

Airline
(Passenger Aircraft / Freighter)
3.1.2
Account
Consignor
 Regulated Agent

Airline
(Freighter)
3.1.3
Unknown
Consignor

Regulated Agent
[request CTO to apply security control]

Airline
(Passenger Aircraft / Freighter)
3.1.4
Account
Consignor

Regulated Agent
[request CTO to apply security control]

Airline
(Passenger Aircraft / Freighter)
Cargo Acceptance Procedures include:(a) Documentation Check
(i) Consignment of cargo shall be accompanied by shipping documents, including Master Air
Waybill (where applicable) and House Air Waybill / Shipper’s Letter of Instruction.
(ii) The shipping documents shall contain at least the following information.
- nature / content of the consignment,
- quantity of the consignment (including weight, number of packages, dimension / volume),
- known consignor code, account consignor code or regulated agent code of the tendering
regulated agent, and
- security status of the cargo consignment if the consignment is received from a regulated agent.
(iii) The status of the known consignor, the account consignor or the tendering regulated agent shall
be checked. (e.g. checking KC code or AC code against the regulated agent’s / airline’s register
and/or checking RA code against Civil Aviation Department’s register).
(iv) If in doubt, the identity of the person delivering the cargo consignment shall be verified (e.g.
check of company identification document) to ascertain that the person is the authorized
representative of the known consignor, the account consignor, the tendering regulated agent, the
warehouse contractor or the transportation contractor.
(b) Appearance Check
(i) The quantity (e.g. number of cartons), weight, dimension and the outer physical appearance of
the cargo consignment shall be reasonably checked against the information contained in the
shipping documents mentioned in 3.2(a) above.
(ii) The packaging of the consignment shall be examined for any signs of tampering and suspicion,
such as:- signs of reseal or forcible opening, or
- unreasonable packaging, or
- wires, oil stains or other indications that the consignment may contain explosives or
incendiary devices.
(iii) Searching by hand or physical check at piece level is not a must if the staff member who receives
the cargo consignment is satisfied that the consignment matches the information contained in the
shipping documents mentioned in 3.2(a) above with no signs of tampering.
July 2013
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Eighth Amendment (E)
3.3
The following documents shall be maintained, where applicable, for every consignment of air cargo for a
period of at least 31 days after the consignment is flown.
- Master Air Waybill (MAWB) / House Air Waybill (HAWB)
- Shipper’s Letter of Instructions (SLI)
- Cargo Manifest / House Cargo Manifest
- Reception Check List (RCL)
- Form of Undertaking for Inter-RA AWB Handling
- *Form of Undertaking for Inter-Agent AWB Handling
- Record of security control applied on unknown cargo (e.g. x-ray screening record)
The following documents shall be maintained as long as a regulated agent continues to hold a status of
regulated agent or an airline continues to operate under the RAR.
- Regulated Agent Security Programme including Warehouse Contractor Declaration and
Transportation Contractor Declaration, if any (for Regulated Agent)
- A register of all valid known consignors
- Known Consignor Declaration of Compliance
- A register of all valid account consignors
- Account Consignor Declaration of Compliance
- Regulated Agent Aviation Security Declaration (for inter-Regulated Agent handling)
* The Form of Undertaking for Inter-Agent AWB Handling is only required for those consignments onboard the flights
departing Hong Kong before 15 July 2013.
July 2013
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Eighth Amendment (E)
3.1.1.1
KNOWN CONSIGNOR  REGULATED AGENT  AIRLINE
(PASSENGER AIRCRAFT/
FREIGHTER)
Known Consignor
3.1.1.1.1
Tender the consignment to regulated agent.
3.1.1.1.2
To facilitate the regulated agent in accepting the consignment, the known consignor shall mark its
known consignor code, which is site-specific, at the right bottom corner of the shipping documents
(e.g. Shipper’s Letter of Instructions (SLI), House Air Waybill (HAWB)).
3.1.1.2
Regulated Agent
3.1.1.2.1
Perform the acceptance check as per 3.2.
3.1.1.2.2
Accept the consignment from the known consignor if the above acceptance check is satisfactory.
3.1.1.2.3
Safeguard the consignment from unlawful interference after its reception until accepted by a CTO.
3.1.1.2.4
Deliver the consignment to the CTO.
3.1.1.2.5
Annotate its regulated agent code as per 2.2.2 and the security status of the consignment on the
Master Air Waybill (MAWB) as per 2.3. Deliver the MAWB and Reception Check List (RCL) to
the airline.
3.1.1.2.6
Maintain the documents as per 3.3. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation
Department.
3.1.1
Note:
Airlines require that a regulated agent types its full name in the “Issuing Carrier’s Agent
Name and City” box at the top of MAWB.
3.1.1.3
Cargo Terminal Operator (CTO)
3.1.1.3.1
Perform the acceptance check as per 3.2(a)(iv) and 3.2(b)(ii).
3.1.1.3.2
Receive the consignment from the regulated agent and issue RCL.
3.1.1.3.3
Safeguard the consignment from unlawful interference after its reception.
3.1.1.3.4
Apply security control if required by the airline.
3.1.1.3.5
Record the applied security control and maintain the record of security control for a period of at least
31 days after the consignment is flown. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation
Department.
3.1.1.4
Airline (Passenger Aircraft / Freighter)
3.1.1.4.1
Perform the acceptance check as per 3.2(a)(i), 3.2(a)(ii), 3.2(a)(iii), 3.2(b)(i) and 3.2(b)(iii).
3.1.1.4.2
Instruct the CTO to apply security control if the above acceptance check is unsatisfactory or when the
airline deems it necessary.
3.1.1.4.3
Maintain the documents as per 3.3. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation
Department.
July 2013
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Eighth Amendment (E)
3.1.2
ACCOUNT CONSIGNOR  REGULATED AGENT  AIRLINE (FREIGHTER)
3.1.2.1
Account Consignor
3.1.2.1.1
Tender the consignment to regulated agent.
3.1.2.1.2
To facilitate the regulated agent in accepting the consignment, the account consignor shall mark its
account consignor code, which is site-specific, at the right bottom corner of the shipping documents
(e.g. SLI, HAWB).
3.1.2.2
Regulated Agent
3.1.2.2.1
Perform the acceptance check as per 3.2.
3.1.2.2.2
Accept the consignment from the account consignor if the above acceptance check is satisfactory.
3.1.2.2.3
Safeguard the consignment from unlawful interference after its reception until accepted by a CTO.
3.1.2.2.4
Deliver the consignment to a CTO.
3.1.2.2.5
Annotate its regulated agent code as per 2.2.2 and the security status of the consignment on the
MAWB as per 2.3. Deliver the MAWB and RCL to the airline.
3.1.2.2.6
Maintain the documents as per 3.3. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation
Department.
Note:
Airlines require that a regulated agent types its full name in the “Issuing Carrier’s Agent
Name and City” box at the top of MAWB.
3.1.2.3
Cargo Terminal Operator (CTO)
3.1.2.3.1
Perform the acceptance check as per 3.2(a)(iv) and 3.2(b)(ii).
3.1.2.3.2
Receive the consignment from the regulated agent and issue RCL.
3.1.2.3.3
Safeguard the consignment from unlawful interference after its reception.
3.1.2.3.4
Perform security control if required by the airline.
3.1.2.3.5
Record the performed security control and maintain the record of security control for at least 31 days
after the consignment is flown. Documentation and recording by electronic means are acceptable
provided that hard copies can be made available upon inspection by Civil Aviation Department.
3.1.2.4
Airline (Freighter)
3.1.2.4.1
Perform the acceptance check as per 3.2(a)(i), 3.2(a)(ii), 3.2(a)(iii), 3.2(b)(i) and 3.2(b)(iii).
3.1.2.4.2
Instruct the CTO to perform security control if the above acceptance check is unsatisfactory or when
the airline deems it necessary.
3.1.2.4.3
Keep the documents as required in 3.3 for at least 31 days after the consignment is flown.
Documentation and recording by electronic means are acceptable provided that hard copies can be
made available upon inspection by Civil Aviation Department.
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Eighth Amendment (E)
3.1.3
UNKNOWN CONSIGNOR

REGULATED AGENT 
[request CTO to
apply security control]
3.1.3.1
Unknown Consignor
3.1.3.1.1
Tender the consignment to the regulated agent.
3.1.3.2
Regulated Agent
AIRLINE
(PASSENGER AIRCRAFT /
FREIGHTER)
[request CTO to apply security control]
3.1.3.2.1
Receive the consignment from the unknown consignor.
3.1.3.2.2
Deliver the consignment to a CTO.
3.1.3.2.3
Submit the completed form, “Declaration of Export Consignment – Bulk”# or “Declaration of
Export Consignment – Prepacked Unit”# (see Annex 3a and Annex 3b) when the regulated agent
requests the CTO to apply security control.
3.1.3.2.4
If the consignment has been cleared by the security control, annotate its regulated agent code as per
2.2.2 and the security status “SPX” on the MAWB as per 2.3.
3.1.3.2.5
Deliver the MAWB and RCL to the airline.
3.1.3.3
Cargo Terminal Operator (CTO)
3.1.3.3.1
Apply security control requested by the regulated agent, then accept the consignment, issue and
annotate the following on the RCL accordingly.
“SECURITY CHECKED”
3.1.3.3.2
Safeguard the consignment from unlawful interference after its reception.
3.1.3.3.3
Apply security control if required by the airline.
3.1.3.3.4
Record the applied security control and maintain the record of security control for a period of at least
31 days after the consignment is flown. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation
Department.
3.1.3.4
Airline (Passenger Aircraft / Freighter)
3.1.3.4.1
Confirm the status of known cargo by checking the MAWB and RCL.
3.1.3.4.2
Perform the acceptance check as per 3.2(a)(i), 3.2(a)(ii), 3.2(a)(iii), 3.2(b)(i) and 3.2(b)(iii).
3.1.3.4.3
Instruct the CTO to apply security control if the above acceptance check is unsatisfactory or when the
airline deems it necessary.
3.1.3.4.4
Keep the documents as per 3.3. Documentation and recording by electronic means are acceptable
provided that hard copies can be made available upon inspection by Civil Aviation Department.
# Individual cargo terminal operator may produce its own form to receive the request for security control.
July 2013
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Eighth Amendment (E)

REGULATED AGENT 
[request CTO to
apply security control]
3.1.4
ACCOUNT CONSIGNOR
AIRLINE
(PASSENGER AIRCRAFT /
FREIGHTER)
3.1.4.1
Account Consignor
3.1.4.1.1
Tender the consignment to the regulated agent.
3.1.4.1.2
To facilitate the regulated agent in accepting the consignment, the account consignor shall mark its
account consignor code, which is site-specific, at the right bottom corner of the shipping documents
(e.g. SLI, HAWB)
3.1.4.2
Regulated Agent
[request CTO to apply security control]
3.1.4.2.1
Receive the consignment from the account consignor.
3.1.4.2.2
Deliver the consignment to a CTO.
3.1.4.2.3
Submit the completed form, “Declaration of Export Consignment – Bulk”# or “Declaration of
Export Consignment – Prepacked Unit”# (see Annex 3a and Annex 3b) when the regulated agent
requests the CTO to apply security control.
3.1.4.2.4
If the consignment has been cleared by the security control, annotate its regulated agent code as per
2.2.2 and the security status “SPX” on the MAWB as per 2.3.
3.1.4.2.5
Deliver the MAWB and RCL to the airline.
3.1.4.3
Cargo Terminal Operator (CTO)
3.1.4.3.1
Apply security control requested by the regulated agent, then accept the consignment, issue and
annotate the following on the RCL accordingly.
“SECURITY CHECKED”
3.1.4.3.2
Safeguard the consignment from unlawful interference after its reception.
3.1.4.3.3
Apply security control if required by the airline.
3.1.4.3.4
Record the applied security control and maintain the record of security control for a period of at least
31 days after the consignment is flown. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation
Department.
3.1.4.4
Airline (Passenger Aircraft / Freighter)
3.1.4.4.1
Confirm the status of known cargo by checking the MAWB and RCL.
3.1.4.4.2
Perform the acceptance check as per 3.2(a)(i), 3.2(a)(ii), 3.2(a)(iii), 3.2(b)(i) and 3.2(b)(iii).
3.1.4.4.3
Instruct the CTO to apply security control if the above acceptance check is unsatisfactory or when the
airline deems it necessary.
3.1.4.4.4
Keep the documents as per 3.3. Documentation and recording by electronic means are acceptable
provided that hard copies can be made available upon inspection by Civil Aviation Department.
# Individual cargo terminal operator may produce its own form to receive the request for security control.
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Eighth Amendment (E)
4
INTER-REGULATED AGENT HANDLING :
4.1
Co-loading: Regulated Agent (Tendering)  Regulated Agent (Receiving)
RA(T): Regulated Agent (Tendering)
RA(R): Regulated Agent (Receiving)
4.1.1
RA(T) lodges a one-off “Regulated Agent Aviation Security Declaration” (see Annex 4a) with RA(R).
4.1.2
RA(R) checks the regulated agent status of RA(T) against the register of regulated agent at Civil Aviation
Department’s website.
4.1.3
RA(T) receives consignment from its consignor or upstream regulated agent.
4.1.4
RA(T) checks the security status of cargo consignment and, if required, applies security control to turn the
security status of the cargo consignment into “SPX”.
4.1.5
RA(T) prepares applicable shipping documents.
4.1.6a If the cargo is known cargo, RA(T) shall annotate its regulated agent code and the security status of the
cargo consignment at the right bottom corner of the shipping documents (e.g. Shipper’s Letter of
Instruction (SLI), House Air Waybill (HAWB)).
4.1.6b If the cargo is unknown cargo, RA(T) shall not annotate any security status or any regulated agent code in
the shipping documents (e.g. SLI, HAWB).
4.1.7 RA(T) tenders consignment to RA(R).
4.1.8
RA(R) verifies the annotation and applies security control to turn the security status of the cargo
consignment into “SPX” if required.
4.1.9
RA(R) tenders consignment to a Cargo Terminal Operator (CTO) and delivers the Master Air Waybill
(MAWB) and Reception Check List (RCL) to Airline.
4.1.10 RA(T) and RA(R) keep the documents as per 3.3. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation Department.
Note:
1. RA(T) should not mark its regulated agent code on the MAWB. Airlines require that, except the
regulated agent code which matches the company’s name that appears in the “Issuing Carrier’s Agent
Name and City” box at the top of the MAWB, no other regulated agent code should be marked in the
MAWB (see Annex 2a).
2. Any cargo consignment co-loaded between RA and non-RA, or between non-RA and non-RA
shall be treated as unknown cargo.
July 2013
A 12
Eighth Amendment (E)
4.2
Master Air Waybill (MAWB) assignment between Regulated Agents
Regulated Agent (MAWB assignor)
MAWB
Consignor  ……  Regulated Agent (MAWB assignee)  Airline
RA(L): Regulated Agent (MAWB assignor) lends MAWB to RA(B)
RA(B): Regulated Agent (MAWB assignee) borrows MAWB from RA(L)
4.2.1
RA(B) lodges a one-off “Regulated Agent Aviation Security Declaration” (see Annex 4a) with RA(L).
4.2.2
RA(L) checks the regulated agent status of RA(B) against the register of regulated agent at Civil Aviation
Department’s website.
4.2.3
RA(B) lodges a “Form of Undertaking for Inter-RA AWB Handling” (the Form) with RA(L) EACH TIME
when RA(B) borrows MAWB from RA(L). (see Annex 4b) RA(B) shall duly complete the Form
according to the security status of the cargo and follow the procedures set out in the Form. The original of
the Form shall be retained by RA(L) with a copy provided to RA(B) for record purpose.
4.2.4
When RA(B) tenders known cargo (i.e. consignment with security status “SPX” or “SCO”)
(see Annex 4c):
When RA(L) first lends the MAWB to RA(B), RA(B) should not annotate any regulated agent code or
security status on the MAWB. After RA(B) has tendered the consignment as known cargo to the CTO,
RA(B) should follow the procedures below.
(1) Annotate the regulated agent code of RA(L) as per 2.2.2.
(2) Annotate the full company name of the RA(B) in the “Signature of Shipper or his Agent” box and the
security status of the consignment (i.e. “SPX” or “SCO”) immediately above the company name on
the MAWB.
(3) Deliver the MAWB and RCL to an airline for carriage on appropriate aircraft. “SPX” cargo
consignment can be carried on passenger aircraft and all-cargo aircraft (freighter) while “SCO” cargo
consignment can be carried on freighter only.
4.2.5
When RA(B) tenders unknown cargo (i.e. consignment without any security status) for carriage
onboard passenger aircraft or freighter: (See Annex 4d)
When RA(L) first lends the MAWB to RA(B), RA(B) should not annotate any regulated agent code or
security status on the MAWB. After RA(B) has tendered the consignment as unknown cargo to a CTO,
RA(B) should follow the procedures below.
(1) Submit the completed form, “Declaration of Export Consignment – Bulk”# or “Declaration of Export
Consignment – Prepacked Unit”# (see Annex 3a and Annex 3b) when the RA(B) requests the CTO to
apply security control.
(2) If the consignment has been cleared by the security control, annotate the full company name of RA(B)
and the security status “SPX” immediately above the company name in the “Signature of Shipper or
his Agent” box on the MAWB. RA(B) should also annotate the regulated agent code of RA(L) as per
2.2.2.
(3) Deliver the MAWB and RCL (with “SECURITY CHECKED” annotated) to the airline.
# Individual cargo terminal operator may produce its own form to receive the request for security control.
July 2013
A 13
Eighth Amendment (E)
4.2.6
When RA(B) tenders consignment with security status “SCO” for carriage onboard passenger
aircraft: (See Annex 4d)
When RA(L) first lends the MAWB to RA(B), RA(B) should not annotate any regulated agent code or
security status. After RA(B) has tendered the consignment with security status “SCO” to CTO, RA(B)
should follow the procedures below.
(1) Submit the completed form, “Declaration of Export Consignment – Bulk”# or “Declaration of Export
Consignment – Prepacked Unit”# (see Annex 3a and Annex 3b) when the RA(B) requests the CTO to
apply security control.
(2) If the consignment has been cleared by the security control, annotate the full company name of RA(B)
and the security status “SPX” immediately above the company name in the “Signature of Shipper or
his Agent” box on the MAWB. RA(B) should also annotate the regulated agent code of RA(L) as per
2.2.2.
(3) Deliver the MAWB and RCL (with “SECURITY CHECKED” annotated) to the airline.
# Individual cargo terminal operator may produce its own form to receive the request for security control.
Note:
1. RA(B) should not mark its regulated agent code on the MAWB. Airlines require that, except the
regulated agent code which matches the company’s name that appears in the “Issuing Carrier’s Agent
Name and City” box at the top of the MAWB, no other regulated agent code should be marked in the
MAWB (see Annex 2a).
2. If MAWB assignment is between RA and non-RA, or between non-RA and non-RA, the
consignment under the MAWB shall be treated as unknown cargo.
For Inspection Purpose
4.2.7
RA(L) & RA(B) keep the documents as per 3.3. Documentation and recording by electronic means are
acceptable provided that hard copies can be made available upon inspection by Civil Aviation Department.
4.2.8
The regulated agents involved in inter-RA handling shall form an audit trail of the security status of each
consignment and produce it to the next downstream entity along a secure supply chain. Therefore, the
inter-RA handling procedures should apply to all the regulated agents involved.
(i.e. In the RA(1)  RA(2)  RA(3), the inter-RA handling procedures should be applied between RA(1)
and RA(2), between RA(2) and RA(3); NOT directly between RA(1) and RA(3))
July 2013
A 14
Eighth Amendment (E)
PART B
1.
ABOUT REGULATED AGENT REGIME
1.1
For the security of air cargo to be in line with the Standard 4.6.4 of Annex 17 (10th edition) to the
Convention on International Civil Aviation (Safeguarding International Civil Aviation Against Acts of
Unlawful Interference), the Hong Kong Aviation Security Programme which, is enforceable under the
Aviation Security Ordinance, has incorporated the Regulated Agent Regime (RAR) since March 2000.
The regime was formulated after consultation with the air cargo industry representative bodies like the
Hong Kong Shippers' Council, Hong Kong Association of Freight Forwarding and Logistics Limited
(HAFFA) and aircraft operators (airlines).
1.2
The four main entities under the RAR are aircraft operator (airline), regulated agent (RA), known
consignor (KC) and account consignor (AC). A cargo handling agent, a freight forwarder or any other
entity who conducts business with an airline can apply for registration as a regulated agent (RA). A
regulated agent is required to comply with the relevant requirements set out in its Regulated Agent
Security Programme and the Handling Procedures for Regulated Agent Regime in order to prevent the
unauthorized carriage of explosives and incendiary devices in the consignments of cargo intended for
carriage by passenger aircraft or all-cargo aircraft. The followings are the four typical flows of air cargo
through air cargo supply chain.
KC
RA
AC
RA
Airline
Passenger Aircraft
All-cargo Aircraft
Airline
All-cargo Aircraft
Airline
Passenger Aircraft
All-cargo Aircraft
KC
Airline
AC
All-cargo Aircraft
Air Cargo Supply Chain
July 2013
B1
Eighth Amendment (E)
2.
NOTICES TO REGULATED AGENT
2.1
All regulated agents shall comply with all the requirements and directions contained in the Notices to
Regulated Agents given from time to time by the Civil Aviation Department. Regulated agents will
normally receive an e-mail or a letter from the Civil Aviation Department when a Notice is given to them.
3.
RAR TRAINING
3.1
REQUIREMENTS
3.1.1
Each Regulated Agent (RA) shall have at least two staff members who have either passed the RA
Revalidation Test organized by the Civil Aviation Department (the Test) or attended an RA Security
Training Programme acceptable to the Civil Aviation Department (the Training Programme). Upon
passing the Test or completion of the Training Programme, "RA Revalidation Test Result Notification" or
training certificates will be issued to individual candidates. All passing Notifications and training
certificates carry a validity of 3 years. Before expiry of the 3-year period, RAs shall arrange for their staff
to attend the Test for the revalidation of the Notifications or to complete the Training Programme for
revalidation of the training certificates for another 3 years. RAs who have their trained staff left their
companies should arrange training for their replacement staff to comply with the above training
requirements within 3 months after the departure of the trained staff.
3.1.2 Those who have passed the Test or completed the Training Programme should internally brief the staff
members with access to consignment designated as air cargo and/or related shipping documents. It is the
responsibility of an RA to arrange their respective in-house refresher training in order to ensure their staff
members are continuously familiarized with the RAR requirements. RAs shall maintain training records.
3.1.3
Those who failed the Test should attend the next available test, or alternatively attend the Training
Programme to meet the RA training requirement.
July 2013
B2
Eighth Amendment (E)
3.2
SCHEDULE AND ARRANGEMENT OF REGUALTED AGENT REGIME
REVALIDATION TEST
Organizer:
Civil Aviation Department
Fee:
Free of Charge
Room 118, Level 1, Office Building, Civil Aviation Department Headquarters,
1 Tung Fai Road, Chek Lap Kok, Lantau.
Venue:
Public Bus en route to the New CAD Headquarters
S1 (Circular) Tung Chung MTR Station to/from AsiaWorld Expo
Schedule:
Every Monday afternoon (except public holiday)
2 sessions are available: 3:00 p.m. & 4:00 p.m.
Who should attend:
Holders of RA certificates approaching the 3-year expiry date.
Test Duration:
40 minutes
Test Format:
20 questions (multiple choice) in English & Chinese; passing marks: 80%
Test Result:
Results will be notified to RA within 14 days of examination.
Registration:
Please contact CAD officer at telephone:
2910 6953 (From: 09:00 a.m. to 12:30 p.m.) (Mon - Fri) for test registration.
July 2013
B3
Eighth Amendment (E)
3.3
CARGO SECURITY TRAINING (REGULATED AGENT REGIME) COURSE
ORGANIZERS
There are seven course organizers offering RA security training programme acceptable to Civil
Aviation Department. Regulated Agents which are interested to attend the courses can contact the
organizer direct for enrolment.
Name of Organizer and its contact information
Hong Kong Association of Freight Forwarding and Logistics (HAFFA)
Website:
http://www.haffa.com.hk/edu.html
Telephone: 2796 3121
Email:
[email protected]
Aviation Security Company Ltd. (AVSECO)
Website:
http://www.avseco.com.hk
Telephone: 3925 5509
[email protected]
Email:
Alliance Knowledge Management Ltd.
Website:
http://www.alliancealliance.com/RARTrain.htm
Telephone: 2331 8775
Email:
[email protected]
Logistics Professionals Consultancy Limited
Website:
http://lpcl.com.hk
Telephone: 2426 2189
Email:
[email protected]
Sky Safe International Consultant Limited
Website:
http://www.skysafe.com.hk
Telephone: 2376 4959
Email:
[email protected]
Air Marine Transport Training Centre Ltd.
Website:
http://www.amttcl.com
Telephone: 3462 2481
Email:
[email protected]
LTK Consultant Ltd.
Website:
http://www.ltkconsult.com
Telephone: 2165 4164
[email protected]
Email:
September 2015
B4
Eighth Amendment (E)
3.4
SYLLABUS OF RAR TRAINING AND REVALIDATION TEST
Syllabus of RAR Training and Revalidation Test
1. Objective of cargo security
- To prevent the unauthorized carriage of explosives and incendiary devices in the consignments of
cargo intended for carriage on passenger aircraft or all-cargo aircraft
2. International and local requirements
- Annex 17 to the Convention on International Civil Aviation
- Security Manual of the International Air Transport Association
- Security Programme
a. Hong Kong Aviation Security Programme
b. Aircraft Operator Security Programme / Regulated Agent Security Programme
3. Key parties of regulated agent regime
- 4 main parties of the regime (aircraft operator, regulated agent and known consignor/account
consignor)
- Definition of known consignor/account consignor and regulated agent
- Recognition of known consignor/account consignor
- Responsibilities of aircraft operator, regulated agent and known consignor/account consignor
4. Known cargo and unknown cargo handling procedures
- Classification of known cargo (SPX and SCO cargo) and unknown cargo
- Procedures for handling known cargo (SPX and SCO cargo) and unknown cargo
- Use of known consignor codes/account consignor codes and regulated agent codes
5. Exempted items
6. Handling Procedures for Regulated Agent Regime (RAR)
7. Types of security control: screening by x-ray, searching by hand or physical check at piece
level, other means acceptable to Civil Aviation Department
8. Maintenance of documents
- Required documents
- Document retention period
- Confidentiality
9. Physical protection of cargo
- Cargo acceptance
- Warehouse security (physical measures, access controls)
- Transportation (driver, vehicle)
10. Treatment of suspect cargo
- Actions on suspect cargo
- Actions on unresolved suspicions
- Actions when explosive or incendiary device identified
11. Random x-ray screening of known cargo (SPX or SCO cargo)
12. Quality control through self-assessment
July 2013
B5
Eighth Amendment (E)
4
EXEMPTED CARGO
Certain categories of cargo are exempted from security controls. The exempted cargo shall be clearly
declared on shipping documents as such and be accompanied with, if any, necessary documents as
required by relevant Hong Kong SAR or overseas government’s department for tendering the cargo
(e.g. sanitary certificate). They include:
a) transit cargo;
b) transfer cargo except cargo (which was originally secured for carriage on board all-cargo
aircraft only) transferred from all-cargo aircraft to passenger aircraft;
c) human remains / ashes;
d) livestock;
e) medical drugs and other essential medical supplies, human organs, blood plasma or similar
materials for life¬saving purposes; and
f) items of mail, courier material and cargo under 6.3mm thick.
(If application of a security control on a cargo consignment will endanger the life or health of the
screener due to the nature of the consignment, the security control shall not be applied. In such case,
a regulated agent shall receive the cargo consignment from a known consignor, an account consignor
or a regulated agent; and the cargo consignment shall be appropriately identified as declared. Other
RAR requirements still apply.)
5
NOTIFICATION OF CHANGE OF REGULATED AGENT SECURITY
PROGRAMME
As stipulated in the Declaration of Compliance – Regulated Agent (i.e. Part IV of the form of
Application for Registration as Regulated Agent), a regulated agent shall inform the Civil Aviation
Department in writing as soon as reasonably possible if there is any change of the information
contained in the application form, including the Regulated Agent Security Programme. A regulated
agent can do so by submitting a duly completed Notification of Change of Regulated Agent Security
Programme (Annex 5) by fax: 2362 4257 or by e-mail to [email protected].
6
RAR REGULAR SELF-ASSESSMENT
Regulated agent shall conduct regular self-assessment with reference to the Regulated Agent
Security Programme and the Handling Procedures for Regulated Agent Regime, at least once every
two years, in order to identify any internal deficiencies or security procedures that are not being
properly implemented or that may require enhancement. The results of each self-assessment shall be
maintained for 3 years and be available for the announced and unannounced inspections by Civil
Aviation Department. (see Annex 6 – Sample Checklist for Regular Self-Assessment)
September 2015
B6
Eighth Amendment (E)
Known Consignor
Declaration of Compliance
Annex 1a
Civil Aviation Department (CAD)
The Government of the Hong Kong Special Administrative Region
I, for and on behalf of
(company name of consignor)
(number of business registration document issued by the government
of the country with which the consignor company is registered)
(unique known consignor’s identification code(s) allocated by Civil
Aviation Department)*
* To be completed when the consignor has already been allocated a unique identification code by Civil Aviation Department (CAD). Please fill
in “N/A” if not applicable.
N/A
(hereafter referred to as “the company”) hereby declare to%:- (% Either Part I or Part II is to be completed.)
Part I
(company name of the regulated agent who receives
cargo consignment from my company)
(RA code of the above regulated agent)
Part II
Civil Aviation Department (CAD) of the Hong Kong Special Administrative Region for the purpose of
applying for# / renewing# a unique identification code of known consignor after completion of
independent validation on ____________________ (date in dd/mm/yyyy)
# Please delete as appropriate
that:(a) Consignments of air cargo are prepared in secure premises by reliable staff members.
(b) Consignments of air cargo are protected against tampering during shipment preparation, storage and
transportation for which the company is responsible.
(c) I accept that the packaging and the contents of any consignment of air cargo may be examined for
security reasons.
(d) Consignments of air cargo do not contain any explosive or incendiary device.
(e) I accept unannounced or announced inspections by CAD or its agents and agree to provide any
documents directly or through an independent validator to CAD for the purpose of monitoring the
compliance with security requirements stipulated in the Requirement Document for Consignor, the
Handling Procedures for Regulated Agent Regime and any other directions given from time to time by
CAD.
(f) I will ensure the continual compliance with the security requirements stipulated in the Requirement
Document for Consignor and the requirements are communicated to all staff members with access to
consignment of air cargo and/or related shipping documents.
(g) I will provide the regulated agent who recognizes my status of known consignor with the relevant details
as soon as reasonably possible if:
(i) the person responsible for application and supervision of the implementation of cargo security has
changed;
(ii) changes to premises or procedures are likely to significantly impact on security;
(iii) the company ceases trading and no longer handles air cargo; or
(iv) the company no longer implements the required security controls stipulated in the Requirement
Document for Consignor.
(h) I understand that the applicable requirements for known consignor as set out in the Requirement
Document for Consignor will take effect from the date when the Independent Validation for Known
Consignor is effective and, without successful validation, my status of known consignor will become
invalid from that date.
I understand that making false declaration knowingly may be liable to prosecution and I accept
responsibility for this declaration.
Name:
_________________
Position in Company:
Company Address:
Note
_________________
Date:
Signature:
_________________________________
__________________________
__________________________
Company Chop:
____________
1 This Declaration shall be renewed every 3 years.
2 This Declaration shall be signed by the person responsible for application and supervision of the implementation of cargo security.
3 Texts struck out in this Declaration will be reinstated when the Independent Validation for Known Consignor is effective.
HKCAD KCDC-E (March 2013)
Page 1 of 1
Annex 1b
Account Consignor
Declaration of Compliance
Civil Aviation Department (CAD)
The Government of the Hong Kong Special Administrative Region
I, for and on behalf of
(company name of consignor)
(number of business registration document issued
by the government of the country with which the
consignor company is registered)
(hereafter referred to as “the company”) hereby declare to:(company name of the regulated agent who receives
cargo consignment from my company)
(RA code of the above regulated agent)
that:(a) Consignments of air cargo are prepared in secure premises by reliable staff members.
(b) Consignments of air cargo are protected against tampering during shipment preparation, storage and
transportation for which the company is responsible.
(c) I accept that the packaging and the contents of any consignment of air cargo may be examined for
security reasons.
(d) Consignments of air cargo do not contain any explosive or incendiary device.
(e) I accept unannounced or announced inspections by CAD or its agents and agree to provide any
documents directly to CAD for the purpose of monitoring the compliance with security requirements
stipulated in the Requirement Document for Consignor, the Handling Procedures for Regulated Agent
Regime and any other directions given from time to time by CAD.
(f) I will ensure the continual compliance with the security requirements stipulated in the Requirement
Document for Consignor and the requirements are communicated to all staff members with access to
consignment of air cargo and/or related shipping documents.
(g) I will provide the regulated agent who recognizes my status of account consignor with the relevant details
as soon as reasonably possible if:
(i) the person responsible for application and supervision of the implementation of cargo security has
changed;
(ii) changes to premises or procedures are likely to significantly impact on security;
(iii) the company ceases trading and no longer handles air cargo; or
(iv) the company no longer implements the required security controls stipulated in the Requirement
Document for Consignor.
I understand that making false declaration knowingly may be liable to prosecution and I accept
responsibility for this declaration.
Name:
_________________
Position in Company:
Company Address:
Note
_________________
Date:
Signature:
_________________________________
__________________________
__________________________
Company Chop:
__________
1 This declaration shall be renewed every 5 years.
2 This Declaration shall be signed by the person responsible for application and supervision of the implementation of cargo security.
HKCAD ACDC-E (March 2013)
Page 1 of 1
Annex 2a
Regulated Agent’s full name in the Issuing
Carrier's Agent Name and City box
ABC Cargo Forwarding Co. Ltd.
Security status of the
air cargo consignment
RA code of the Regulated Agent
“ABC Cargo Forwarding Co. Ltd.” in
the Signature of Issuing Carrier or its
Agent box
SPX
RA 98765
June 2013
Seventh Amendment (E)
Annex 2b
Regulated Agent’s full name in the Issuing
Carrier's Agent Name and City box
ABC Cargo Forwarding Co. Ltd.
Do not annotate any security
status or RA code.
July 2013
Eighth Amendment (E)
Annex 2c
Regulated Agent’s full name in the Issuing
Carrier's Agent Name and City box
ABC Cargo Forwarding Co. Ltd.
AKE 12345 ZZ
SPX
AKE 34567 ZZ
SCO
Security status of the
consignment in
AKE12345ZZ
RA code of the Regulated Agent
“ABC Cargo Forwarding Co. Ltd.” in
the Signature of Issuing Carrier or its
Agent box
June 2013
RA 98765
Seventh Amendment (E)
Annex 3a
Declaration of Export Consignment – Bulk
Security check required:
Yes
Agent Name:
AWB No:
No
IATA Code:
Airline :
Destination:
Date :
Pieces
Dimension
Total
Pieces:
Pieces
Dimension
Total Weight:
Signature with Company
Chop:
February 2004
Sixth Amendment (E)
Annex 3b
Declaration of Export Consignment – Prepacked Unit
Security check required:
Yes
No
Agent
Name:
IATA
Code:
ULD No:
Contour :
Date :
AWB No.
Destination
Pieces
Weight
Signature with Company Chop:
February 2004
Sixth Amendment (E)
Annex 4a
Regulated Agent Aviation Security Declaration
For Inter-Regulated Agent Handling
1.
On behalf of _______________________(Name of Regulated Agent) I, the undersigned,
confirm that, unless otherwise stated, all consignments of goods consigned for carriage by air by
*me/my company to __________________(Name of Receiving Regulated Agent) will not contain
any explosive or incendiary device and are protected to my best endeavour against unauthorized
interference during preparation, storage and transportation.
2.
I agree that the packaging and contents of the consignments may be examined for security
reasons.
3.
I agree that I shall immediately notify
______________________(Name of Receiving
Regulated Agent) once my RA status is removed from the CAD Register
Regulated Agent Code registered under the Civil Aviation Department
Name of Person-in-Charge /
Nominated Person for Cargo Security
Signature & Company Chop
(Block Letters)
Position
Date
Company Address
This is a one-off declaration.
*
June 2013
delete as appropriate
Sixth Amendment (E)
Annex 4b
Form of Undertaking for Inter-RA AWB Handling
Section I
I, for and on behalf of
(company name of MAWB assignee regulated agent)
(RA code)
hereby declare to
(company name of MAWB assignor regulated agent)
(RA code)
that in order to use the Master Air Waybill (MAWB):Master Air Waybill Number:
______________________________
borrowed from the above named MAWB assignor, I will follow the procedures set out in Section II for
tendering the air cargo consignment under the above Master Air Waybill.
Section II
*Tick the appropriate box(es).
The cargo consignment under the above MAWB will be tendered to a cargo terminal operator as*:
 known cargo (i.e. cargo consignment with security status “SPX” or “SCO”) and I will follow the
procedures as required in Part A Section 4.2.4 of the Handling Procedures for Regulated Agent
Regime.
 unknown cargo (i.e. consignment with security status “UNK” or without any security status) and I will
follow the procedures as required in Part A Section 4.2.5 of the Handling Procedures for Regulated
Agent Regime.
 “SCO” cargo consignment for carriage onboard passenger aircraft and I will follow the procedures as
required in Part A Section 4.2.6 of the Handling Procedures for Regulated Agent Regime.
Section III
Full Name
(in block letter):
Signature and
Company Chop:
_________________
Position in Company:
___________________
Date:
_________________
___________________
Note: 1 This Declaration shall be completed and signed by the Person-In-Charge or the Nominated Person for Cargo Security of the MAWB
assignee regulated agent.
2 The original of this Declaration shall be retained by the MAWB assignor regulated agent with a copy provided to MAWB assignee
regulated agent.
June 2013
Seventh Amendment (E)
Annex 4c
RA(L)’s full name in the Issuing Carrier's
Agent Name and City box
ABC Cargo Forwarding Co. Ltd.
Security status of the
air cargo consignment
SPX
DEF Freight Co. Ltd.
RA 98765
Full company name of
RA(B)
June 2013
RA(L)’s RA code
Seventh Amendment (E)
Annex 4d
RA(L)’s full name in the Issuing Carrier's
Agent Name and City box
ABC Cargo Forwarding Co. Ltd.
No any security status
at first
July 2013
Eighth Amendment (E)
Annex 5
Regulated Agent Regime Notification of Change of Regulated Agent Security Programme (RASP)
1. This form is for Regulated Agents (RA) to notify the Civil Aviation Department (CAD) of any change(s) to their Regulated
Agent Security Programme (RASP).
2. Please submit a) this notification form, b) the relevant page(s) of RASP and c) the relevant supplementary
document(s) to the Aviation Security Section, Airport Standards Division, CAD at least 5 working days before the effective
date of your proposed change(s) :by fax to
2362 4257
or
by e-mail to
[email protected]
Part A – Basic Information
Company Name : ___________________________________________________________________________________________
Regulated Agent Code :
Signature of Person-in-charge or Nominated Person with
Tel :
Company Chop:
Fax :
Email :
____________________________________________________
Date :
(Full Name ): _________________________________________
Part B – Changes to the RASP
My company would like to submit the following change(s) in our RASP to the Civil Aviation Department:* Please the appropriate box(es) and fill in the effective date where appropriate.
Required Documents
Item(s) to change
Relevant Page(s) of
RASP
Supplementary Documents
(a) Company Name
(Effective date:
__________________)
P.1
(i) A copy of the Business Registration Certificate issued
under Business Registration Ordinance (Cap. 310); and
(ii) A copy of the Certificate of Change of Name issued
under Companies Ordinance (Cap. 32)
(b) Company Address
(Effective date:
__________________)
P.1
A copy of the Business Registration Certificate issued under
Business Registration Ordinance (Cap. 310)
(c) Correspondence Address /
Email Address / Contact
Phone Number / Fax
Number
(d) Person-In-Charge
(e) Nominated Person for Cargo
Security /
Second Trained Person
(f) Scope of Cargo Operations
(g) Warehouse
(Effective date:
__________________)
(h) Method of Security Control
P.1, P.2
and/or P.3
Nil
P.1
Nil
- A copy of valid RAR Training certificate; or
- Result of RA revalidation test organised by CAD
P.2 / P.3
P.3,
P.4 (only required if
answer is “Yes”)
P.5 to 8
P.7
- End -
Dec 2014
Involve Physical Handling of Cargo?
No: please provide a written explanation of your cargo
operations on a separate sheet for consideration by CAD
Yes: please also complete item (g) below if applicable
(i) Warehouse floor plan, clearly indicating the locations of
access points, security installations and specially assigned
storage areas for SPX/SCO/UNK/company cargo if any
(ii) A copy of Warehouse Contractor Declaration, if
contractor is used
(iii) Sample(s) of SPX/SCO/UNK cargo labels, if used
(iv) Sample of company’s cargo label, if used
Nil (CAD may contact your company for submission of
further information for assessment).
Annex 6
Regulated Agent Regime –
Sample Checklist for Regular Self-Assessment
1. This document serves as a sample checklist for Regulated Agents (RA) to conduct regular self-assessments
as required under Part II, Section 12 of their Regulated Agent Security Programme (RASP).
2. The use of this sample checklist is not mandatory. RAs may design their own checklist(s) in
accordance with the requirements as specified in the RASP and the Handling Procedures for Regulated
Agent Regime (RAR), as they see fit.
3. Regular self-assessment shall be conducted by each RA at least once every two years. The results of each
self-assessment shall be maintained for 3 years for inspection by the Civil Aviation Department (CAD). Please
do not submit the completed checklist to CAD for the time being.
Part I – Basic Information
Company Name:
RA Code:
Part II–
–Regular Self-Assessment Checklist
1. Please tick () at the appropriate box(es) as you go through the checklist.
2. If you answer “No” to any of the items, please write your corrective actions in Part G of this
checklist.
A) General Information
Yes No N/A
1 Is my RASP up-to-date? (See Note)
[RASP Part IV para. (d)(i)]
• Company Particulars
(Company Name – same as BRC, Address)
• RAR Personnel
(Person-in-charge, Nominated Person for Cargo Security,
Second Trained Person)
• RAR Personnel’s Contact Details
• Scope of Cargo Operations
• Details of warehouse (if applicable)
2 Business Registration Certificate (BRC) [RASP Part I Section 1(d)]
• Original available and valid?
• Address on BRC same as the address registered on the
RASP?
Remarks
Note:- If you have answered ‘No’ to any item under (A)(1). please amend your RASP accordingly
and inform CAD using the form “Notification of Change of RASP” (downloadable on CAD website).
B) RAR Personnel and Training
Yes No N/A
1 RAR Personnel and Training Records
[RASP Part II Section 2(c) & 3(a)]
• RAR Training Certificates / revalidation test results of the two
trained persons valid?
2 Internal Security Awareness Training [RASP Part II Section 3(b)]
• Frequency of internal training in accordance with RASP?
• Training records properly maintained for at least previous 3
years? (including own staff & contractors)
• Trainer’s signature on training records
• Training materials available, appropriate and up to date?
April 2015
Remarks
Page 1 of 4
Yes No N/A
C) Recruitment of staff members with access to air cargo
consignment and / or related shipping documents
• Job application form available, and content in accordance
with the requirements in Part II Section 9(a) and 9(b) of
RASP?
• Job Application Records of successful applicants properly
kept?
(only for new air cargo staff recruited on or after 15 July 2013)
• Job Interview Records of successful applicants properly kept?
(only for new air cargo staff recruited on or after 15 July 2013)
Remarks
D) RAR Documentation
Yes No N/A
1 Known Consignor (KC) System [RASP Part II Section 8.2(b),(d)]
• KC Register properly maintained?
• KCDoC (KC Form) properly maintained and duly completed?
2 Account Consignor (AC) System [RASP Part II Section 8.3(b),(d)]
• AC Register properly maintained?
• ACDoC (AC Form) properly maintained and duly completed?
3 Inter-Regulated Agent (Inter-RA) Handling
• RAASD (Inter-RA Form) properly maintained and duly
completed?
4 Shipping Documents
[RASP Part II Section 8.5]
• Full set available and kept for 31 days or more?
(A full set should include MAWB, HAWB, Cargo Manifest, SLI
and co-loading document, where applicable)
• Content of shipping documents / annotation of security status
(SPX / SCO) and RA code in accordance with Handling
Procedures for RAR published by CAD?
• For “SPX” cargo, all supporting RAR documentation properly
signed and/or maintained (e.g. KCDoC, co-loading document,
RAASD, Form of Undertaking, where applicable)?
• For “SCO” cargo, all supporting RAR documentation properly
signed and/or maintained (e.g. ACDoC, co-loading document,
RAASD, Form of Undertaking, where applicable)?
• For unknown cargo, security control records (X-ray or hand
search) properly maintained?
5 Random X-ray Screening
[RASP Part II Section 11]
• Monthly X-ray screening records (RCL) properly maintained for
at least previous 3 years?
• Screened at least 1% of the known cargo consignments
consigned by my KC/AC?
6 Regular Self-Assessment
[RASP Part II Section 12]
• Conducted at least once every 2 years?
• Records properly maintained for at least 3 years?
• Are deficiencies identified effectively during the last
self-assessment process? (if applicable)
• Are the corrective actions proposed in the last self-assessment
followed up properly? (if applicable)
Remarks
April 2015
Page 2 of 4
E) Warehouse (if applicable)
Yes No N/A
1 Warehouse contractor (if applicable)
[RASP Part II Section 6.1(c)]
• Warehouse Contractor Declaration signed by the contractor
and original available?
2 Cargo acceptance procedures
[RASP Part II Section 5(b)]
• Documentation check performed in accordance with RASP?
• Appearance check performed in accordance with RASP?
3 Physical Security
[RASP Part II Section 6.2(a)]
• Physical barriers for cargo processing and storage areas
protection.
• Access points to consignments can be closed, locked or
guarded when not in use.
• Regular inspections on physical barriers.
• Other measures (if any):- _____________________________
4 Access Control
[RASP Part II Section 6.2(b)]
• Number of access points:- _____
• Access restricted to individuals with operational need.
• Identity check on persons entering the warehouse.
• Access points are monitored by security personnel or
automated devices.
• Other measures (if any):- ___________________________
5 Segregation of cargo using method as specified in RASP (i.e. by
labelling or by ground demarcation)?
[RASP Part II Section 6.4(a), (b) & 6.1 (e)]
• Segregation of Known Cargo from UNK Cargo
• Segregation of SPX Cargo from SCO Cargo
• Distinguishing company’s cargo from other agent’s cargo
6 Prevention of unlawful interference on known cargo (only when
stored in unsecured location)
[RASP Part II Section 6.4(c)(ii)]
• Consignment itself is equipped with tamper-evident seals or
locks;
AND
Under supervision by patrol, intruder detection devices, alarms,
CCTV or other means of protection against intrusion for entire
storage period
Remarks
• Integrity of seals or locks is verified.
7 Warehouse floor plan up-to-date?
[RASP Part II Section 6.5]
•
•
•
Security installations (if any)
Access points
Specially assigned area (if any)
April 2015
Page 3 of 4
F) Transportation (if applicable)
Yes No N/A
1 Transportation contractor (if applicable)
[RASP Part II Section 7.1(c)]
• Transportation Contractor Declaration signed by the contractor
and original available?
2 Cargo acceptance procedures
[RASP Part II Section 5(b)]
• Documentation check performed in accordance with RASP?
• Appearance check performed in accordance with RASP?
3 Drivers
[RASP Part II Section 7.2(a)]
• ID check by cargo dispatcher using ID document
• Check for sign of tampering, suspicion or evidence of unlawful
interference if vehicle unattended?
4 Vehicles
[RASP Part II Section 7.2(b)]
• If box truck / light goods van is used, any lock?
• If flat bed truck is used, any surveillance measures?
• If flat bed truck is used, any self-contained seals or locks?
• If numbered tamper-evident seals are used, access to seals
controlled?
G)
Remarks
Corrective action plan
If you have answered “No” to any of the item(s) on the checklist, please write your proposed
corrective action(s) below, together with the corresponding follow-up date(s) and action party/ies.
Assessment
conducted by:
(Name and Post)
(Signature)
Date:
April 2015
Page 4 of 4