ICAO – WCO JOINT WORKSHOP
AIR CARGO
SECURITY AND FACILITATION
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MODULE 5
WCO AND ICAO FRAMEWORKS FOR AIR CARGO SECURITY
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Objectives
Familiarize with Framework of Standards (SAFE of FoS)
Familiarize with ICAO Framework for Air Cargo Security
Familiarize with aspects of the International Harmonization
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WCO
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SAFE FoS
Objectives
Core principles
Framework structure
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Recognition of risks to the security and facilitation of the international trade supply chain lead the WCO to take bold action
WCO Council Resolution, June 2002, forming a Joint Customs-Industry Task Force on Security and Facilitation
SAFE FoS
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Certainty and predictability at a global level
Integrated supply chain management for all transport modes
Allow Customs to meet the challenges and opportunities of the 21st Century
Objectives
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Closer cooperation among Customs administrations
Stronger Customs-to-Business cooperation
Tangible benefits for businesses
Seamless movement of goods
Objectives
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Four Core Principles
Advance electronic
information
Risk Management
Outbound inspection
Business partnership
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Pillar 1: Customs-to-Customs Cooperation - Using Commonly Accepted Standards to both Secure and Facilitate Trade (11 Standards)
Pillar 2: Customs-to-Business Partnership -Identify Secure Business Partners and Offer Benefits (6 Standards)
Pillar 3: Customs-to-Other Government and Inter-Government Agencies - cooperation to enhance supply chain security and facilitation (11 Standards)
FRAMEWORK STRUCTURE
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Standard 1: Integrated Supply Chain Management (ISCM)
Standard 2: Cargo Inspection Authority
Standard 3: Modern technology in Inspection Equipment
Standard 4: Risk-Management Systems
Pillar 1 – Customs-to-Customs
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Standard 5: Selectivity, profiling and targeting
Standard 6: Advance Electronic Information
Standard 7: Targeting and Communication
Standard 8: Performance Measures
Pillar 1 – Customs-to-Customs
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Standard 9: Security Assessment
Standard 10: Employment Integrity
Standard 11: Outbound Security Inspection
Pillar 1 – Customs-to-Customs
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The Customs administration should follow integrated Customs control procedures as outlined in the WCO Customs Guidelines on Integrated Supply Chain Management (ISCM Guidelines)
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Pillar 1 – Standard 1 Integrated Supply Chain Management
The Customs administration should have the authority to inspect cargo originating, exiting, transiting (including remaining on board), or being trans-shipped through a country
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Pillar 1 – Standard 2 Cargo Inspection Authority
Non-intrusive inspection (NII) equipment
and radiation detection equipment should be available and used for conducting inspections, where available and in accordance with risk assessment. This equipment is necessary to inspect high-risk containers or cargo quickly, without disrupting the flow of legitimate trade
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Pillar 1 – Standard 3 Modern Technology in Inspection Equipment
Pillar 1 – Standard 4 Risk Management Systems
The Customs administration should
establish a risk-management system to identify potentially high-risk shipments and automate that system
The system should include a mechanism for validating threat assessments and targeting decisions and identifying best practices
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advance electronic information
strategic intelligence
automated trade data
anomaly analysis
the relative security of a trader’s supply chain
Pillar 1 – Standard 5 Selectivity, profiling and targeting
Customs should use sophisticated methods to identify and target potentially high risk cargo:
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Pillar 1 – Standard 6 Advance Electronic Information
The Customs administration should require advance electronic information on cargo and container shipment in time for adequate risk assessment to take place
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Pillar 1 – Standard 7 Targeting and Communication
Customs administrations should provide for joint targeting and screening, the use of standardized sets of targeting criteria, and compatible communication and/or information exchange mechanisms; these elements will assist in the future development of a system of mutual recognition of controls
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The Customs administration should maintain statistical reports that contain performance measures (WCO TRS):
the number of shipments reviewed the subset of high-risk shipments examinations of high-risk shipments conducted examinations of high-risk shipments by NII technology
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Pillar 1 – Standard 8 - Performance Measures
Pillar 1 – Standard 8 - Performance Measures
The Customs administration should maintain statistical reports that contain performance measures (WCO TRS):
examinations of high-risk shipments by NII and physical means examinations of high-risk shipments by physical means only Customs clearance times positive and negative results
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The Customs administration should work with other competent authorities to conduct security assessments involving the movement of goods in the international supply chain and to commit to resolving identified gaps expeditiously
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Pillar 1 – Standard 9 Security Assessment
Pillar 1 – Standard 10 - Employee Integrity
The Customs administration and other competent authorities should be encouraged to require programs to prevent lapses in employee integrity and to identify and combat breaches in integrity
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Pillar 1 – Standard 11 Outbound Security Inspection
The Customs administration should conduct outbound security inspection of high-risk containers and cargo at the reasonable request of the importing country
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Standard 1: partnership
Standard 2: security
Standard 3: authorization
Standard 4: technology
Standard 5: communication
Standard 6: facilitation
Pillar 2 – Customs and Business Partnership
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A party involved in the international movement of goods in whatever function that has been approved by or on behalf of a national Customs administration as complying with WCO or equivalent supply chain security standards.
Authorized Economic Operators include inter alia manufacturers, importers, exporters, brokers, carriers, consolidators, intermediaries, ports, airports, terminal operators, integrated operators, warehouses, and distributors
Authorized Economic Operator in the SAFE Programme
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Pillar 2 – Standard 1: Partnership
AEOs involved in the international trade supply chain will engage in a self-assessment process measured against pre-determined security standards and best practices to ensure that their internal policies and procedures provide adequate safeguards against the compromise of their shipments and containers until they are released from Customs control at destination
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Public Private Partnership
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Pillar 2 – Standard 2
Security
AEOs will incorporate pre-determined security best practices into their existing business practices
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Pillar 2 – Standard 3 – Authorization
The Customs administration, together with representatives from the trade community, will design validation processes or quality accreditation procedures that offer incentives to businesses through their status as AEOs
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Pillar 2 – Standard 4 Technology
All parties will maintain cargo and container integrity by facilitating the use of modern technology
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Pillar 2 – Standard 5 – Communication
The Customs administration will regularly update Customs-Business partnership programmes to promote minimum security standards and supply chain security best practices
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Pillar 2 – Standard 6 – Facilitation
The Customs administration will work co-operatively with AEOs to maximize security and facilitation of the international trade supply chain originating in or moving through its Customs territory
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Other
Companies
AEO Benefits
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AEO benefits: competitive advantages
Reduction of number of controls and time needed for clearance
Direct benefits from other countries in case of MRA
Certification/logo as reliable, predictable and consistent partner
Insurance in case of incident or terrorist act
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AEO benefits: increase and improvement
Identification of inefficiencies and gaps in management of the company and the supply chain
Implementation of best practices (e.g. better communications and cooperation between divisions)
Reduction of theft and damage
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AEO benefits: recognition as reliable operator by Customs
Consultation in the development process of Customs rules
Access to information
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67 Countries with existing AEO
programmes
16 Countries with AEO programmes to be launched
AEO Map 2015:
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Concluded AEO MRAs
Currently: 34 MRAs
Date Country
June 2007 New Zealand – USA
May 2008 Japan – New Zealand
June 2008 Canada – USA
June 2008 Jordan – USA
June 2009 Japan – USA
July 2009 EU – Norway
July 2009 EU – Switzerland
June 2010 Canada – Japan
June 2010 Canada – Korea
June 2010 Canada – Singapore
June 2010 EU – Japan
June 2010 Korea – Singapore
June 2010 Korea – USA
January 2011 Andorra – EU
May 2011 Japan – Korea
June 2011 Korea – New Zealand
June 2011 Japan – Singapore
Date Country May 2012 EU-USA June 2012 China - Singapore July 2013 China - Korea October 2013 China – Hong Kong, China
November 2013 India - Hong Kong, China February 2014 Hong Kong, China - Korea March 2014 Mexico - Korea May 2014 EU – China June 2014 Korea – Turkey June 2014 Hong Kong, China - Singapore
June 2014 Malaysia – Japan June 2014 USA – Israel October 2014 USA – Mexico December 2014 USA – Singapore
April 2015 Korea – Dominican Republic June 2015 Thailand – Hong Kong, China June 2015 Malaysia-Thailand October 2015 India-Korea
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AEO MRAs under negotiation
China-Japan China-USA India-Korea India –USA Israel-Korea Malaysia-Korea New Zealand – Singapore Norway – Switzerland Thailand – Hong Kong Thailand - Korea
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Pillar 3 – Customs and other Government and Inter-Government Agencies
Three types of Cooperation under the pillar: Cooperation with Governments Cooperation between and among Governments Multinational Cooperation
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Pillar 3 – Customs and other Government and Inter-Government Agencies
Cooperation with Governments:
Standard 1: Mutual Cooperation
Standard 2: Cooperative Arrangements/Procedures
Standard 3: Alignment of security programmes
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Pillar 3 – Customs and other Government and Inter-Government Agencies
Cooperation with Governments: Standard 4: Harmonization of national control measures
Standard 5: Development of continuity and resumptions measures
Standard 6: Mutual Cooperation
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Pillar 3 – Customs and other Government and Inter-Government Agencies
Cooperation with Governments: Standard 7: Development of Cooperative Arrangements
and Protocols
Standard 8: Alignment of security
Standard 9: Harmonization of cross-border control measures
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Pillar 3 – Customs and other Government and Inter-Government Agencies
Cooperation with Governments: Standard 10: Establishment of Mutual Cooperation
Standard 11: Development of cooperative arrangements or protocols
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ICAO
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ICAO Framework for Air Cargo Security
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Regulatory Role International legal framework for the last 70 years International forum for aviation security regulators and
experts for the last 25 years
Implementation and Assistance Role Provides training and implementation support Conducts ICAO audits Offers assistance to States
Role of ICAO
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Evolution of Air Cargo Security SARPs
2010 2012 2013 2014 2011
Recurrent ICAO Aviation Security Panel
29 OCT Printer-cartridge
incidents Working Group on Air
Cargo Security
High Level Conference on
Air Cargo Security
38th ICAO
Assembly
1 JUL Amendment 12 to
Annex 17
15 JUL Amendment 13 to Annex 17 Guidance Material revised 14 NOV
Amendment 14 Annex 17
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Civil Aviation Measures
Legislative
Technical
Physical
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Legislative Measures
Chicago Convention -1944
Tokyo Convention – 1963
Hague Convention – 1970
Montreal Convention - 1971
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Legislative Measures
Protocol for the Suppression of Unlawful Acts – 1988
MEX Convention – 1991
Beijing Convention – 2010
Beijing Protocol – 2010
Montreal Protocol to the Tokyo Convention - 2014
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Technical Measures
19 Annexes to the Convention on International Civil Aviation (Montreal) Annex 9 (Facilitation ) Annex 17 (Aviation Security)
Security Manual (Doc. 8973)
Facilitation Manual (Doc. 9957)
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Annex 9 and 17 - Definitions
Standards = Necessary or mandatory Recommended Practices = Desirable Contracting State = Signatory to the Chicago Convention
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Facilitation
The efficient management of the necessary control process,
with the objective of expediting the clearance of
persons or goods
and
preventing unnecessary operational delays. Definition according to ICAO Doc. 8973
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Coordination between Facilitation and Security
38th ICAO Assembly new strategic objective:
• Emphasizing the importance of facilitation by placing it on equal footing with security.
Facilitation Priorities 2014-2016
• «Working better with what we have»
• Planning for the future
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Annex 9
Chapter 4 – Entry and departure of cargo and other Articles Information required by the public authorities Release and clearance of export and import cargo
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Annex 9
Chapter 4 – Entry and departure of Cargo and Other Articles Spare parts, equipment, stores and other material
imported or exported by aircraft operators in connection with international services
Containers and pallets Mail documents and procedures Radioactive material
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Annex 9 – AEO Definition
Authorized Economic Operator (AEO) AEO is a party involved in the international movement of goods
in whatever function that has been approved by or on behalf of a national Customs administration as complying with WCO or equivalent supply chain security standards
AEOs may include manufacturers, importers, exporters, brokers, carriers, consolidators, intermediaries, ports, airports, terminal operators, integrated operators, warehouses, distributors and freight forwarders
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Annex 9 – AEO Recommended Practices
RP 4.9.1 - consideration of introduction of AEO programmes
RP 4.9.2 – encouragement to establish agreements or arrangements for the mutual recognition of AEO or equivalent programmes
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Annex 9 – Provisions for cargo – examples
• Std. 4.5: Coordination of release/clearance of goods
• Std. 4.27: Priority: live animals & perishable/urgent goods
• Std. 4.56: Prompt release of radioactive material/ medical applications
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Annex 17 - Amendment 1-12
Amendment 8 – security control over cargo, courier and express parcels and mail
Amendment 9 – regulated agent definition
Amendment 11 – security for all-cargo operations
Amendment 12 – supply chain security
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Annex 17 - Amendment 13
Baseline security measures for both passenger and all-cargo aircraft
Enhanced security measures for high-risk cargo including new definition
Secure supply chain, including at transfer points, with security controls to be applied by a regulated agent or an entity approved by the appropriate authority (e.g. Known Consignor)
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Annex 17 - Amendment 13
Screening of cargo which cannot be accounted for by a regulated agent or by an entity approved by the appropriate authority
Security Status accompanying cargo in electronic or paper format → Consignment Security Declaration (CSD)
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Amendment 14
Screening method to be chosen according to the nature of the consignment
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Annex 17 – Cargo Standards
Standard 4.6.1 – appropriate security controls of cargo and mail prior the loading
Standard 4.6.2 – supply chain security process
Standard 4.6.3 – protection from unauthorized interference from the point of screening until departure of the aircraft
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Annex 17 – Cargo Standards
Standard 4.6.4 – application of enhanced security measures are applied to high-risk cargo and mail
Standard 4.6.5 – application of screening or other security controls confirmed by regulated agent, or an entity that is approved by the appropriate authority
Standard 4.6.8 – cargo and mail confirmed and accounted for shall be issued with security status
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Annex 17 – Cargo Standards
Standard 4.6.9 - Transfer cargo and mail subjected to appropriate security controls prior to being loaded
Standard 4.6.10 - Where screening of cargo and mail is conducted, screening is carried out using an appropriate method or methods, taking into account the nature of the consignment
Recommendation 4.6.11 – appropriate mechanism to confirm that transfer cargo and mail has been subjected to appropriate security controls
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Guidance Material
Security Manual Doc. 8973/9
Facilitation Manual Doc. 9957
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Physical Countermeasures
Control of access to security restricted areas
Screening of passengers and their baggage
Screening of crew members and staff
Security measures relating to cargo, mail and other goods
Protection of aircraft; and
Protection of airport and navigation facilities
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Air Cargo Secure Supply Chain - Definition
“Set of interconnected security procedures that are applied to a cargo consignment to maintain the integrity of such a consignment from the point where screening or other security controls are applied until it arrives at its last airport of arrival, including through transit and/or transfer points”
ICAO Doc 8973
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Annex 17 Supply chain: security & facilitation
• Regulated Agents and Known Consignors • Secure supply chain principle • Facilitation perspective included in supply chain approach
• Guidance Material • Non-duplication of unnecessary controls • Example tool: Consignment Security Declaration – traceability
and facilitation
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Air Secure Supply Chain – Objectives (1/3)
Efficient solution, built on a risk-based approach that meets the following objectives:
– Respect existing obligations of businesses operating in the air cargo supply chain
– Share costs and responsibilities among all stakeholders
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Air Secure Supply Chain – Objectives (2/3)
Efficient solution, built on a risk-based approach that meets the following objectives:
– Facilitate the flow of cargo transported by air
– Reduce or limit possible delays generated by the application of security
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Air Secure Supply Chain – Objectives (3/3)
Efficient solution, built on a risk-based approach that meets the following objectives:
– Apply appropriate security controls for specific
categories of cargo – Preserve the primary advantages of the air transport
mode: speed, safety and security
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Advantages of Secure Supply Chain:
Shared responsibilities and application of security controls reducing the strain on airport operations
The secure movement and transfer of consignments from one entity to another
The assurance that appropriate security controls are applied
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PILLARS OF
THE AIR CARGO SECURE
SUPPLY CHAIN
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Cargo Physical Security – Preventive Measures
Deter
Detect
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Secure Supply Chain - pillars Secure supply chain programme should be applied in line with the following six pillars:
– Facility security – Personnel security – Training – Screening – Chain of custody – Oversight and compliance
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Pillar 1 – Facility Security
Physical Security Measures:
sound construction
securing of doors and windows
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Detection and prevention from unauthorized interference
Pillar 1 – Facility Security
Intrusion detection devises: alarms
CCTV
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Detection and prevention from unauthorized interference
Pillar 1 – Facility Security
Protected areas for secure cargo:
cages
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Detection and prevention from unauthorized interference
Pillar 1 – Facility Security
Staff awareness
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Detection and prevention from unauthorized interference
Staff and vehicle access control procedures: swipe cards, guards
procedures for visitors
Pillar 2 – Personnel Security
The appropriate authority should establish the background check requirements for individuals with unescorted access to air cargo and mail
These background checks should include:
– criminal history (when legally permissible); and/or – pre-employment or work history
Where background checks are not legally permissible, there may be a requirement for employees to be screened
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Pillar 3 – Training requirements
Security training programme developed by each entity should include the following training types:
– initial
– refresher at specified intervals
Training records kept for each employee
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Pillar 3 – Training requirements
Initial and recurrent training for: – security personnel who carry out security measures
for air cargo and mail (may include screening, if appropriate)
– staff with access to identifiable air cargo or mail (security awareness training)
– known consignor/regulated agent security managers and officers
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Pillar 4 – Screening - definition
“The application of technical or other means which are intended to detect weapons, explosives or dangerous devices which may be used to commit an act of unlawful interference”
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Pillar 4 – Screening
Screening may be conducted by application of:
– approved technologies or
– physical search procedures
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Pillar 4 – Screening
Screening methods must be selected according to the nature of the consignment
Screening equipment must be maintained, tested and operated in accordance with the manufacturer’s instructions
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Pillar 5 – Chain of Custody
Storage of secure cargo and mail Ground transportation Acceptance procedures Handling and loading Treatment of suspected cargo Transfer and transit cargo and mail
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Pillar 6 – Oversight and Compliance
Legislation should also be established to enable the appropriate authority (or an entity appointed to act on its behalf) to conduct oversight and quality control, including inspections and tests of personnel, measures, procedures, programmes, facilities and equipment as part of a regulated agent, known consignor and account consignor regime
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Pillar 6 – Oversight and Compliance
Regulated Agents and Known Consignors should also carry out their own internal quality control
These should be set out in their security programmes
International
Harmonization
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Pre-requisites for harmonization
• Agree on key principles and direction for air cargo security ICAO High Level Conference on Aviation Security (HLCAS) - Key Principles 38th ICAO Assembly “global approach”
• Define minimum baseline requirements and responsibilities for equivalent security outcomes
Annex 17 Security requirements Guidance Material Framework for implementation
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Pre-requisites for harmonization
• Agree on «common language»
ICAO Annex 17 definitions
Detailed and clarified in Guidance Material
Presented in ICAO-WCO Joint Publication “Moving Air Cargo Globally”
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Options for harmonization
– Harmonization through detailed regulation ICAO Guidance Material as direction • Example of regional regulations
– Harmonization through implementation ICAO Aviation Security Training Packages (ASTP) • Tools: Consignment Security Declaration
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Options for harmonization
– Harmonization through cooperation
• Aviation, customs and mail authorities
• Cooperation with industry bodies
• Multilateral or bilateral cooperation
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From regulation to implementation
ICAO has developed a framework for air cargo security and set the
minimum baseline for implementation
ICAO continues to provide the international forum for the development of international civil aviation SARPs
ICAO looks forward to continued cooperation with all stakeholders in addressing future challenges
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Discussion
Find similarities between programmes
Identify areas where measures overlap
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Challenges Fact: Two different programs with common grounds, similarities and
differences
Desirable attitude: Will to cooperate
Acknowledgement of commonalities
Support at management level
Recognize mutual responsibilities
Legal framework for exchange of information
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Similarities
Security of the supply chain
Risk based security approach
Physical security of locations
Secure business processes
Tools for self assessment to support application
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Differences
AEO: Import and Export
All modes of transport
Legal requirements with open norms
Certification also covers compliance, accounts, solvency, IT systems
RA/KC: Export
Air mode
Specific legal requirements
Certification specific location
Certification for security requirements (including screening)
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The (possible) way forward
Seek for cooperation and alignment based on current legislation (simultaneous application, combine assessment, identify
overlap of security requirements, clarify similarities and differences in relation to laws, regulations, powers, responsibilities and tasks)
Search for more legal alignment on international level (WCO SAFE Framework of Standards; - ICAO Annex 9 and/or ICAO Annex 17)
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Module Summary
Familiarized with Framework of Standards (SAFE FoS)
Familiarized with ICAO Framework for Air Cargo Security
Familiarized with aspects of International Harmonization
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End of Module 5
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