electronic cargo security declaration - ig air...

Electronic Cargo Security Declaration Functional Specifications

<IATA Cargo>

<IDFS>

<20/09/2010>

INTERNAL IATA DOCUMENT - NOT FOR PUBLICATION

Distribution List Approved copies of this document will be issued to:

Name Business Area

IATA Cargo Business Process & Standards 10-Mar-2011

IATA e-Security Declaration Specifications v2.1 (clean).doc of 43



DOCUMENT CONTROL & DISTRIBUTION Version History

Version Amendment Description Date By

0.1 Original Draft 20/09/2010 F.Leger, L.Ristagno, B.Acheson

0.2 Internal Review 21/09/2010 L.Ristagno




0.6 Inclusion of technical requirements 15/10/2010 F.Leger

0.7 Inclusion of data element 16/10/2010 F.Leger

0.8 Internal Review 19/10/2010 L. Ristagno

0.9 Revision of data elements, code list and layout 08/11/2010 L.Ristagno

1.0 Internal Review 09/11/2010 F. Leger


1.2 Revision of the layout 12/11/2010 L. Ristagno


1.4 Add the communication between the GHA and the Carrier 23/11/2010 L. Ristagno

1.5 Internal updates 26/11/2010 F. Leger

1.6 Changes following the ECSDAG call 01/12/2010 L. Ristagno

1.7 Changes following the EC meeting 16/12/2010 L. Ristagno; F. Leger

1.8 Internal updates 04/02/2011 L. Ristagno

1.9 Consignment Security Declaration layout updates 07/02/2011 L. Ristagno

2.0 Internal updates 07/02/2011 B. Acheson

2.1 Add Annex B : Consignment Security Declaration Completion Instructions

08/02/2011 L. Ristagno



Table of Content: 1 Introduction .........................................................................................................................5

1.1 Objective ........................................................................................................................................................5 1.2 Scope ..............................................................................................................................................................5 1.3 Countries ........................................................................................................................................................5 1.4 Regulations ....................................................................................................................................................5 1.5 Stakeholders..................................................................................................................................................5 1.6 Definitions ......................................................................................................................................................6

2 Regulations ..........................................................................................................................8 2.1 ICAO Annex 17 Security..............................................................................................................................8 2.2 IATA Recommended Practice 1630 Cargo security................................................................................8 2.3 EC Regulations 272/2009 and 185/2010.................................................................................................8 2.4 National regulations examples .................................................................................................................10

Canada .......................................................................................................................................................................................10 France.........................................................................................................................................................................................11 Germany ....................................................................................................................................................................................11 Luxemburg ................................................................................................................................................................................11 Switzerland................................................................................................................................................................................12 UK................................................................................................................................................................................................12

3 As-Is Business Process ....................................................................................................12 3.1 As-Is Business Process – Consolidation .................................................................................................13 3.2 As-Is Business process - Direct Shipments ...........................................................................................15

4 To-Be Business Process...................................................................................................16 4.1 To-Be Business Process – Consolidation ................................................................................................17 4.2 To-Be Business Process - Direct Shipment............................................................................................19

5 Technical requirements ...................................................................................................21 5.1 Shippers should be able to:......................................................................................................................21 5.2 Freight forwarders should be able to: ....................................................................................................21 5.3 Carriers (handling agent or self-handled carrier) should be able to:...............................................21

6 Data elements required per messages ........................................................................22 6.1 Data requirements – Consolidation.........................................................................................................22

Known Consignor or Account Consignor (Shipper) communication with the freight forwarder..............................22 A Regulated Agent (freight forwarder) stores in its operating system the security data elements: .....................22 A Regulated Agent (freight forwarder) security statement in respect of a consolidation:.......................................23 A Regulated Agent (e.g. handling agent or self-handled carrier) screens unsecure cargo and stores in its operating system the security data elements....................................................................................................................23 A Regulated Agent (freight forwarder) security statement in respect of a consolidation of secure cargo:..........24 A Regulated Agent (e.g. handling agent or self-handled carrier) screens unsecure cargo and transmits the security data elements:..........................................................................................................................................................25 A Regulated Agent (e.g. handling agent or self-handled carrier) secure information transmission on cargo manifest .....................................................................................................................................................................................25

6.2 Data Requirements - Direct Shipment ...................................................................................................26



A Known Consignor or Account Consignor (Shipper) communication ..........................................................................26 A Regulated Agent (handling agent or self-handled carrier) store in its operating system the security data elements:...................................................................................................................................................................................27 A Regulated Agent (handling agent or self-handled carrier) security statement in respect of a shipment with KC/AC cargo: ............................................................................................................................................................................28 The Regulated Agent (handling agent or self-handled carrier) security statement after securing unsecure cargo: .........................................................................................................................................................................................28 A Regulated Agent (handling agent or self-handled carrier) secure information transmission on cargo manifest.....................................................................................................................................................................................................29

7 Code List.............................................................................................................................30 Secure information: ................................................................................................................................................................30 Security status of the consignment (d): .............................................................................................................................30 Reason that the security status was issued (e):...............................................................................................................30 Means of screening (e): .........................................................................................................................................................30 Grounds for exempting the consignment from screening (e):.......................................................................................30 Other Secure information: .....................................................................................................................................................31

8 Consignment Security Declaration Layout ..................................................................31 Annex A......................................................................................................................................................................................32 Annex B......................................................................................................................................................................................40



1 Introduction

1.1 Objective Airlines have a legal obligation in certain locations to ensure that cargo is secured before being loaded into an aircraft. The security control measures can be undertaken early in the supply chain (e.g. Known Consignor) but in such a case, a cargo security declaration shall be provided to the carrier to ascertain that the cargo is secured.

Authorities may audit airlines or any party in the supply chain and such cargo security declarations may have to be made available upon request.

The objective of this document is to provide an overview of the business process, business rules as well as the electronic messages that could be implemented to support an efficient management of the electronic cargo security declaration, in lieu of a paper security declaration, in countries where it is legally acceptable.

The goal is to have as much as possible common business processes, business rules and electronic messages to support the electronic security declaration around the world. Requirements specific to a single state will not be investigated. IATA warns that all parties involved comply with their national civil aviation security program and ensure that any other requirements imposed by government authorities have been met.

1.2 Scope In this specification we are not going to describe how to become a secure operator, how to secure cargo or how to handover secure cargo. We will focus on the exchange of electronic cargo security declaration data along a secure supply chain, between secure operators, to ascertain that the cargo has been screened.

In this specification, the scope of documents will be limited to the security declaration that attests the security of a consignment and is exchanged between secure operators along a secure supply chain.

1.3 Countries In this specification, the scope of the countries will be limited to those who have a security program in place and that allow the use of an electronic security declaration in lieu of a paper security declaration.

1.4 Regulations In this specification, the scope of Regulations will be limited to:

- ICAO Annex 17 Security;

- EC Regulations 300/2008, 272/2009 and 185/2010;

- National Regulations for the sole countries specified under 1.2.

1.5 Stakeholders In this specification, the scope of stakeholders who are secure operators will be limited to:

- Known Consignor(Shipper);

- Account Consignor (Shipper);

- Regulated Agent (Freight Forwarder, Ground Handling Agent and Self–handled Carriers).



Note: Stakeholders are responsible for other third parties whose services they have contracted (e.g. truckers involved in the secure transportation of air cargo).

In this specification, the scope will only cover online export processes (loading of cargo) that are concerns consolidations and direct shipments (with or without forwarders being involved).

Note: Interlining process will be considered in a second phase.

1.6 Definitions ACCOUNT CONSIGNOR (IATA RP1608 & EC300/2008): A consignor who originates cargo or mail for its own account and whose procedures meet common security rules and standards sufficient to allow carriage of that cargo on all-cargo aircraft or mail on all-mail aircraft. AIR WAYBILL (IATA RP1608): The document made out by, or on behalf of, the Shipper (as defined hereunder) which, when used, evidences the contract between the Shipper and Carrier (s) for carriage of goods over routes of the carrier(s). CONSIGNMENT (IATA RP1608): (which is equivalent to the term “shipment”), means one or more pieces of goods accepted by the Carrier from one Shipper at one time and at one address, receipted for in one lot and moving on one air waybill or shipment record to one consignee at one destination address. CARRIER (IATA RP1608): Includes the air carrier issuing the air waybill or creating the shipment record and all other air carriers that carry or undertake to carry the cargo under the air waybill or shipment record or to perform any other services related to such air carriage. CARGO (IATA RP1608): Is equivalent to the term “goods”, means any property carried or to be carried in an aircraft, other than mail or any other property carried under the terms of an international postal convention, baggage or property of the carrier, provided that baggage moving under an air waybill or a shipment record is cargo. CARGO (EC300/2008): Any property intended for carriage on an aircraft, other than baggage, mail, air carrier materials and in-flight supplies. CARGO (ICAO): Any property carried on an aircraft other than mail, stores and accompanied or mishandled baggage. CARRIER (IATA RP1608): Includes the air carrier issuing the air waybill or creating the shipment record and all other air carriers that carry or undertake to carry the cargo under the air waybill or shipment record or to perform any other services related to such air carriage. CONSIGNMENT (IATA RP1608): Is equivalent to the term “shipment”, means one or more pieces of goods accepted by the Carrier from one Shipper at one time and at one address, receipted for in one lot and moving on one air waybill or Shipment Record to one Consignee at one destination address. ENTITY (EC 300/2008): A person, organization or enterprise, other than an operator. KNOWN CONSIGNOR (IATA RP1630): The originator of property for transportation by air who has established direct business with a regulated agent or an air carrier on the basis of agreed criteria.



KNOWN CONSIGNOR (ICAO & EC 300/2008): A consignor who originates cargo or mail forits own account and whose procedures meet common security rules and standards sufficient to allow carriage of cargo or mail on any aircraft. OPERATOR (EC 300/2008): A person, organization or enterprise engages, or offering to engage, in an air transport operation. REGULATED AGENT (IATA RP1630): An agent, freight forwarder or any other entity that conducts business with an air carrier and provides security controls that are accepted or required by the appropriate authority in respect of cargo and mail. REGULATED AGENT (ICAO): An agent, freight forwarder or any other entity that conducts business with an operator and provides security controls that are accepted or required by the appropriate authority in respect of cargo courier, express parcels or mail. REGULATED AGENT (EC 300/2008): An air carrier, agent, freight forwarder or any other entity who ensures security controls in respect of cargo or mail. SCREENING (IATA & ICAO): The application of technical or other means which are intended to identify and/or detect weapons, explosives or other dangerous devices, articles or substances which may be used to commit an act of unlawful interference. SCREENING (EC 300/2008): The application of technical or other means which are intended to identify and/or detect prohibited articles. SECURE CARGO (IATA Secure Freight Manual): A consignment of cargo accepted by a Regulated Agent or operator directly from a Regulated Agent, operator or Known Consignor or Account Consignor, to which appropriate security controls have been applied, and which is thereafter protected from unlawful interference, Or a consignment of unsecure cargo that has been subject to appropriate security controls, made “secure” and which is thereafter protected from unlawful interference. SECURITY CONTROL (ICAO): A means by which the introduction of weapons explosives or other dangerous devices, articles or substances which may be used to commit an act of unlawful interference can be prevented. SECURITY CONTROL (ICAO): Means the application of means by which the entry the introduction of prohibited articles may be prevented. SHIPPER (IATA RP1608): (Which is equivalent to the term “consignor”) means the person whose name appears on the air waybill or in the shipment record as the party contracting with the carrier(s) for carriage of goods. TAMPER EVIDENT (IATA Secure Freight Manual): A means by which, by visual inspection, it can be determined that the security integrity of a consignment has either been, or not been, compromised. TRANSFER (IATA RP1608): Movement of cargo from one carrier to another against a transfer manifest. TRANSFER PASSENGERS, BAGGAGE, CARGO OR MAIL (EC 300/2008): Passengers, baggage, cargo or mail departing on an aircraft other that on which they arrived. TRANSIT (IATA RP1608): An en route stopping place where cargo remains on board.



TRANSIT PASSENGERS, BAGGAGE, CARGO OR MAIL (EC 300/2008): Passengers, baggage, cargo or mail departing on the same aircraft as that on which they arrived. UNKNOWN CARGO (IATA Secure Freight Manual): A consignment of cargo tendered to a Regulated Agent or operator that has not been submitted to appropriate security controls, or a consignment of cargo subjected to appropriate security controls that may have or is confirmed to have been subjected to unlawful interference.

2 Regulations In order to protect the safety and security, important rules and regulations have been issued by International, regional, national regulators and civil aviations (e.g. ICAO, European Commission) entitled to protect and safeguard the civil aviation integrity.

2.1 ICAO Annex 17 Security The ICAO Annex 17 is part of International Standards and Recommended Practices.

As described on chapter 4, Article 4.6:

“4.6.2 Each Contracting State shall ensure that cargo and mail to be carried on a passenger commercial aircraft are protected from unauthorized interference from the point security controls are applied until departure on the aircraft.

4.6.2 Each contracting state shall establish a process for approval of Regulated Agents, if such agents are involved in implementing security controls.

4.6.4 Each Contracting State shall ensure that operators do not accept cargo or mail for carriage on an aircraft engaged in passenger commercial air transport operations unless the application of security controls is confirmed or accounted for by a Regulated Agents, or such consignment are subject to appropriate security controls.

4.6.6 Recommendation: Each Contracting State should ensure that security controls to be applied to cargo and mail for transportation on all-cargo aircraft are determined in the basis of security risk assessment carried out by the relevant national authorities. “

2.2 IATA Recommended Practice 1630 Cargo security The IATA Recommended Practice 1630 is intended to protect air carrier operators against acts of unlawful interference.

As described on chapter 3 of the RP1630:

3.1 General: All cargo intended to be carried on passengers before being uplifted onto an aircraft shall be subject to security controls. Air Carriers should not accept cargo for carriage unless security controls have been applied or their application has been confirmed by a Regulated Agent, or if being loaded on an all-cargo aircraft, an Account Consignor.

3.6.2 All consignments accepted from Known Shippers and/or Regulated Agents will be deemed to have met required security provisions only after proper checks have been completed.

3.11 The appropriate authorities and/or carriers may require a security declaration to be provided in paper or electronic format or any other means that may be allowed in the future “

Guidance material to assist the implementation of the Recommended Practice is published in IATA Security Manual.

2.3 EC Regulations 272/2009 and 185/2010 Above regulations aim at protecting persons and goods within the European Union by setting common rules for safeguarding civil aviation.



As per EC Regulation 272/2009:

“1. Cargo and mail to be loaded on an aircraft shall be screened unless:

a) security controls have been applied to the consignment by a regulated agent, and the consignment has been protected from unauthorized interference from the time that those security controls were applied ; or

b) security controls have been applied to the consignment by a known consignor and the consignment has been protected from unauthorized interference from the time that those security controls were applied ; or

c) security controls have been applied to the consignment by an account consignor and the consignment has been protected from unauthorized interference from the time that those security controls were applied and the cargo is carried on an all-cargo aircraft or the mail on an all-mail aircraft;”

“2. Cargo and mail: the process for the approval or designation of regulated agents, known consignors and account consignors…

1 Regulated agent shall be approved by the appropriate authority;…

2 Known Consignor shall be approved by the appropriate authority;…

3 Account Consignor shall be designated by a regulated agent.“

As per EC Regulation 185/2010:

A regulated agent is under 6.3.1.1 “any entity that applies security controls can be elected as Regulated Agent. This includes third party logistic providers responsible for integrating warehousing and transportation services, air carriers and handling agents“

A regulated agent may subcontract:

(a) any of the security controls referred to in point 6.3.2 to another regulated agent;

(b) any of the security controls referred to in point 6.3.2 to another entity, where the controls are carried out at the regulated agent’s own site or at an airport, and are covered by the regulated agent’s or airport security programme;

(c) any of the security controls referred to in point 6.3.2 to another entity, where the controls are carried out elsewhere than at the regulated agent’s own site or at an airport, and the entity has been certified or approved and listed for the provision of these services by the appropriate authority; and

(d) the protection and transportation of consignments to a haulier that meets the requirements of point 6.6.

6.3.2 “Security controls to be applied by a regulated agent”

6.3.2.1 “When accepting any consignment, a regulated agent shall establish whether the entity from which it receives the consignment is a regulated agent, a known consignor, an account consignor, or none of these”.

6.3.2.2 “The person delivering the consignment to the regulated agent or to the carrier shall present an identity card, passport, or any other document which includes his or her photograph and has been issued or recognized by the national authority. The card or document shall be used to establish the identity of the person delivering the consignments.”

6.3.2.5 “…the regulated agent shall ensure that the consignment tendered to the air carrier or another regulated agent is accompanied by the appropriate documentation either in form of an air waybill or in a separate declaration and either in an electronic format or in writing.“



6.3.2.6 “The documentation shall be available for inspection by the appropriate authority at any point before the consignment is loaded on to an aircraft and shall provide the following information:

a) site specific name and address of the regulated agent that issued the security status and/or its unique alphanumeric identifier as received from the appropriate authority;

b) a unique identifier of the consignment such as the number of the (house or master) air waybill;

c) the content of the consignment;

d) the security status of the consignment stating:

a) SPX meaning secure for passengers, all cargo and all mail aircraft, or

b) SCO meaning secure for all cargo and all mail aircraft only

e) The reason that the security was issued, stating:

- “KC” meaning received from a known consignor or;

- “AC” meaning received from an account consignor or;

- the means or methods of screening used or

- the grounds for exempting the consignment from screening:

f) the name of the person who issued the security status, or an equivalent identification and the date and time of issue;

g) the site specific name and address or unique identifier received from the appropriate authority of any regulated agent who has accepted the security status given to the consignment by another regulated agent”.

6.3.2.7 “In case of consolidations the requirements under points 6.3.2.6 (c), (e), (f) and (g) are considered as met if the regulated agent is able to establish the nature of the content, the reason that the security status was issued and/or the name of the person who issued the security status and the date and time of issue, respectively, by a verifiable audit trail at any time before the consignment is loaded on an aircraft and afterwards for the duration of the flight or for 24 hours, whichever is the longer.“

6.3.2.8 “When accepting a consignment to which not all required controls have previously been applied, the regulated agent may also elect not to apply the security controls as referred to in point 6.3.2 but to hand the consignment over to another regulated agent to ensure the application of the security controls.”

2.4 National regulations examples In order to cover a large geographical scope some national regulations have been analyzed to ensure that the business process as well as the electronic messages defined herein can support these requirements.

Canada

a) Regulation reference: Air Carriers Security Measures - Part 1

b) Regulation effective date: December 24, 2009. A new legislation will be effective march 2011

c) Security Program in place: yes

d) Known/Account Consignor in place: yes

e) Regulated Agent in place: yes



f) Security Declaration in place: yes

g) Security Declaration layout defined: yes, the chain of custody document is under review by Transport Canada

h) Acceptance of electronic Security Declaration: yes

i) Information required on Sec. Declaration (if different from EC 185/2010): no

j) Archiving duration of the Security Declaration: 90 days

France

a) Regulation reference: currently under revision

b) Regulation effective date: 29 April 2010





g) Security Declaration layout defined: No (AWB, separate paper sheet, or electronic)

h) Acceptance of electronic Security Declaration: Yes

i) Information required on Sec. Declaration (if different from EC 185/2010): No

j) Archiving duration of the Security Declaration: 24 hours or flight duration if over 24 hours. A Decree to extend to a 7 day period is foreseen

Germany

a) Regulation reference: German Aviation Authority (LBA),300/2008 and 185/2010





f) Security Declaration in place: yes but a consignment-related security declaration does not exist.

g) Security Declaration layout defined: no



j) Archiving duration of the Security Declaration: not in place so 24 hours as per EC regulation

Luxemburg

a) Regulation reference: EC300/2008 / EC185/2010







f) Security Declaration in place: yes, paper version

g) Security Declaration layout defined: no



j) Archiving duration of the Security Declaration: as per EC regulation

Switzerland

a) Regulation reference: EC185/2010





f) Security Declaration in place: yes, paper version

g) Security Declaration layout defined: no, only the Security Status Contents

h) Acceptance of electronic Security Declaration: yes, but not defined


j) Archiving duration of the Security Declaration: 3 months

UK

a) Regulation reference: Single Consolidated Direction (Aviation) 2010






g) Security Declaration layout defined: yes


i) Information required on Sec. Declaration (if different from EC 185/2010): Separate documents required for Known Consignor, Regulated Agent, Transhipment Cargo and Exempt Cargo (under review)

j) Archiving duration of the Security Declaration: 30 days (under review)

All above national regulations are aligned with EC Regulation 185/2010 (except for the archiving duration that may vary) allowing the business process and the electronic messages proposed herein to be applied.

3 As-Is Business Process Two as-is business processes are examined (i.e. consolidation and the direct business).

3.1 As-Is Business Process – Consolidation In a consolidation scenario the Regulated Agent (freight forwarder) is the shipper designated on the AWB.

Any Regulated Agent can outsource the screening of cargo to a third party Regulated Agent or service provider. In such a case, the process would enter into a “loop” until the cargo is secured and a paper security declaration can be produced.

Two different flows are described for the Known Consignor and Account Consignor:

- A Known Consignor receives its unique identifier from the authority (e.g. civil aviation)

- An Account Consignor receives its identifier from the Regulated Agent (freight forwarder, handling agent or self-handled carrier) with who it is in business.

1. a) A Known Consignor (shipper) sends a letter of instruction with its Known Consignor unique identifier to the freight forwarder

b) An Account Consignor (shipper) sends a letter of instruction with its Account Consignor reference to the freight forwarder for ‘all cargo’ and ‘all mail’ aircraft only

2. The Known Consignor or Account Consignor (shipper) will prepare and package the cargo (it may include the paper security declaration depending on country requirements)

3. Cargo is picked up by the Regulated Agent (freight forwarder) or delivered to the Regulated Agent (freight forwarder) by the shipper itself



4. a) The Regulated Agent (freight forwarder) confirms the validity of the Known Consignor (shipper) unique identification and accepts the cargo as SPX

b) The Regulated Agent (freight forwarder) confirms the validity of the Account Consignor (shipper) reference and accepts the cargo as SCO for all cargo and all mail aircraft only

5. The Regulated Agent (freight forwarder) secures the unsecure cargo as SPX

6. The Regulated Agent (freight forwarder) includes the secure cargo into a consolidation containing only secure cargo.

- In case of an SPX consolidation it can only comprise SPX cargo;

- In case of consolidations of mixed SPX and SCO cargo, that consolidation must considered as SCO cargo.

7. The Regulated Agent (freight forwarder) prepares the documentation including the paper security declaration (this may be an indication on the AWB)

8. The Regulated Agent (freight forwarder) delivers the cargo and the paper security declaration to the Regulated Agent (e.g. handling agent or self-handled carrier) at the airport

9. The Regulated Agent (e.g. handling agent or self-handled carrier) confirms the validity of

the Regulated Agent identification (freight forwarder), checks the paper security declaration, and accepts the cargo as ready for carriage (IATA Resolution 833)

10. The Regulated Agent(e.g. handling agent or self-handled carrier) secures the unsecure cargo, if any, and then accepts the cargo as SPX

11. The Regulated Agent (e.g. handling agent or self-handled carrier) prepares the security declaration (this may be an indication on the AWB)

The secure cargo is then loaded onto the appropriate aircraft (SPX on any aircraft and SCO on ‘all cargo’ and ‘all mail’ aircraft only)



12. For potential auditing purposes, Regulated Agents (freight forwarders, the handling agent or self-handled carrier) archive the paper security declaration.

3.2 As-Is Business process - Direct Shipments In the direct shipments process, the Known Consignor or Account Consignor is supposed to transact directly with the air carrier. However, in this process, a freight forwarder is currently involved as the entity providing logistic services to the shipper (e.g. pre-carriage handling, reception of the shipper letter of instruction and preparation of the air waybill)

When providing logistic services, the freight forwarder can act as a haulier (haulier declaration signed) or as a Regulated Agent who takes the responsibility to screen the cargo.

A Regulated Agent can outsource the screening of the cargo to a third party service provider and in such a case, the process would enter into a “loop” until the cargo is secured and a paper security declaration can be produced.

1. a) A Known Consignor (shipper) will send a letter of instruction to the freight forwarder

including its Known Consignor unique ID.

b) An Account Consignor (shipper) sends a letter of instruction to the freight forwarder including its Account Consignor reference for ‘all cargo’ and ‘all mail’ aircraft only

2. The Shipper (or freight forwarder on its behalf) prepares and packages the cargo and issues the air waybill including the Known Consignor ID or Account Consignor reference (it may also include a paper security declaration depending on country requirements)

Note: If the forwarder is a Regulated Agent he is entitled to declare the security status (SPX or SCO) of the shipment if it has first confirmed the validity of the Known Consignor or Account Consignor.

3. Cargo is delivered by the freight forwarder who has signed a haulier declaration or by the shipper itself

Note: Any unsecure cargo will have to be secured by a Regulated Agent.



4. a) The Regulated Agent (e.g. handling agent or self-handled carrier) confirms the validity

of the Known Consignor identification and accepts the SPX cargo

b) The Regulated Agent (e.g. handling agent or self-handled carrier) confirms the validity of the Account Consignor name and accepts the SCO cargo

5. The Regulated Agent (e.g. handling agent or self-handled carrier) secures any unsecure cargo as SPX

6. The Regulated Agent (e.g. handling agent or self-handled carrier) prepares the security declaration (this may be a notification on the AWB).

The secure cargo is then loaded onto the appropriate aircraft (SPX on any aircraft and SCO on ‘all cargo’ or ‘all mail’ aircraft only)

Note: Cargo can be screened at any point by a third party (Regulated Agent) who will generate the security declaration (e.g. at the airport)

7. The Regulated Agent (e.g. handling agent or self-handled carrier) archives all security

information for potential audit purposes

8. The Regulated Agent (e.g. handling agent or self-handled carrier) who has secured unsecure cargo will archive the paper security declaration for potential audit purposes

4 To-Be Business Process Two to-be business processes are examined i.e. the consolidation, the direct business (with the freight forwarder acting as a logistic provider, a booking agent or performing administrative tasks).



4.1 To-Be Business Process – Consolidation In the to-be business process for consolidation, the forwarder acts (with the support of electronic messaging) as the shipper in the supply chain.

1. a) A Known Consignor (shipper) transmits a letter of instruction (SLI in XML) message with its Known Consignor unique identifier to the freight forwarder

b) An Account Consignor (shipper) transmits a letter of instruction (SLI in XML) message with its Account Consignor reference to the freight forwarder

2. The Known Consignor and Account Consignor (shipper) will prepare and package the cargo

3. Cargo is picked up by the Regulated Agent (freight forwarder) or is delivered by the shipper itself

4. a) The Regulated Agent (freight forwarder) receives the SLI in XML, confirms the validity of

the Known Consignor (shipper) unique identification and accepts the cargo

b) The Regulated Agent (freight forwarder) receives the SLI in XML, confirms the validity of the Account Consignor (shipper) reference and accepts the cargo for ‘all cargo’ or ‘all mail’ aircraft only

5. The Regulated Agent (freight forwarder) secures the unsecure cargo as SPX

6. The Regulated Agent (freight forwarder) includes the secure cargo into a consolidation consisting only of secure cargo:

- In case of an SPX consolidation it can only comprise SPX cargo;

- In case of consolidations of mixed SPX and SCO cargoes, that consolidation must considered as SCO cargo.

7. The Regulated Agent (freight forwarder) transmits the AWB data message (FWB or XML equivalent) to the carrier including the security information.



If necessary, the carrier will send the security information to the handling agent.

Note: when bilaterally agreed between the parties, security information may be included in the OCI line of FHL

8. The Regulated Agent (freight forwarder) delivers the cargo to the self-handled airline or ground handling agent at the airport

9. The Regulated Agent (e.g. handling agent or self-handled carrier) receives the AWB message, confirms the validity of the Regulated Agent identification (freight forwarder), checks the electronic security information and accepts the secure cargo as ready for carriage.

10. The Regulated Agent (e.g. handling agent or self-handled carrier) secures any remaining unsecure cargo and then accepts the secure cargo as ready for carriage.

Note: In case the handling agent secures any unsecure cargo, it will send back to the carrier at origin the status message (FSU) including the security information.

11. The Regulated Agent (e.g. handling agent or self-handled carrier) includes the security information into the air waybill message (FWB or XML equivalent) to be transmitted at destination and prepares the flight manifest message (FFM or XML equivalent)

12. The secure cargo is then loaded onto the appropriate aircraft: SPX on any aircraft and SCO on ‘all cargo’ or ‘all mail’ aircraft only.



13. The Regulated Agent (freight forwarder) archives the SLI message and AWB data messages (FWB or XML equivalent) sent that include the security information for potential audit purposes

14. The Regulated Agent (handling agent or self-handled Carrier) archives the AWB data messages (FWB or XML equivalent) received and sent as well as the flight manifest message (FFM or XML equivalent) that includes the security information for potential audit purposes

15. The Regulated Agent (freight forwarder, handling agent or self-handled carrier) are able to reproduce on paper the security declaration if required for audit purposes

4.2 To-Be Business Process - Direct Shipment As for the as-is business process, we differentiate two different flows for the Account Consignor and Known Consignor. The freight forwarder is part of the process as the party providing logistic services to the shipper (e.g. pre-carriage handling, Shipper Letter of Instruction reception, Air Waybill preparation).

1. a) A Known Consignor (shipper) transmits a Shipper Letter of Instruction (SLI in XML)

message with its Known Consignor id to the freight forwarder (it must include an indication if cargo is unsecure)

b) An Account Consignor (shipper) transmits a Shipper Letter of Instruction (SLI in XML) message to the freight forwarder including its Account Consignor name for all cargo or all mail aircraft only (it must include an indication if cargo is unsecure)

2. Shipper or freight forwarder on its behalf prepares, packages the cargo and transmits the AWB data message (FWB or XML equivalent) to the self-handled carrier including the Known Consignor ID or Account Consignor reference as well as indication that the cargo is unsecure. If necessary, the carrier will send the security information to the handling agent.

Note: If the forwarder is a Regulated Agent then it is entitled to declare the security status (SPX or SCO) of the shipment if it has first confirmed the validity of the known consignor.

3. Cargo is delivered by the freight forwarder that has signed a haulier declaration, or by the shipper itself

Note: Any unsecure cargo, including secure cargo with tamper evidence, will have to be secured by a Regulated Agent. Exception procedures may be in place (e.g. cargo is not to be accepted)



4. a) The Regulated Agent (e.g. handling agent or or self-handled carrier) receives the SLI and

FWB data messages, confirms the validity of the Known Consignor identification (shipper) and accepts the SPX cargo as ready for carriage

b) The Regulated Agent (e.g. handling agent or or self-handled carrier) receives the SLI and FWB data messages, confirms the validity of the Account Consignor reference (shipper) and accepts the SCO cargo as ready for carriage on ‘all cargo’ or ‘all mail’ aircraft only

5. The Regulated Agent (e.g. handling agent or self-handled carrier) secures the unsecure cargo and records the security information electronically including the SPX code


6. The Regulated Agent (e.g. handling agent or self-handled carrier) includes the security information into the AWB data message (FWB or XML equivalent) to be transmitted at destination and prepares the flight manifest message (FFM or XML equivalent)

7. The secure cargo is then loaded onto the appropriate aircraft (SPX on any aircraft and SCO on all cargo or all mail aircraft only)

Note: Cargo can be screened at any point by a third party Regulated Agent (e.g. at the airport)

8. The Known Consignor, Account Consignor (shipper) and freight forwarder (which may be a Regulated Agent) archive the FWB messages that they sent, for potential audit purposes

9. The Regulated Agent (e.g. handling agent or self-handled carrier) archives electronically for potential audit purposes:

1. Security information following reception of unsecure cargo

2. AWB data messages (FWB or XML equivalent) that they received and sent





3. Flight manifest message (FFM or XML equivalent)

10. The Regulated Agents (e.g. handling agent or or self-handled carrier) are able to produce a paper security declaration if requested

5 Technical requirements

5.1 Shippers should be able to: - Support EDI, e.g. CIMP or XML messages

- Send Shipper’s Letter of Instruction messages (XML equivalent) containing their secure cargo information, e.g. KC identifier or AC reference

- An Account Consignor receives the identifier( e.g. reference) from the Regulated Agent

- A Known Consignor receives the unique identifier by the appropriate authority

- In case of direct shipment, send (or have sent) Air Waybill Data messages to the carrier (e.g. handling agent or self-handled carrier)

- Archive Shipper’s Letter of Instruction (XML equivalent) and, in case of direct shipment, Air Waybill Data messages containing the secure cargo information

- Produce a paper security declaration from electronic records (either SLI or AWB data message) on an ad hoc basis as needed

5.2 Freight forwarders should be able to: - Support EDI (e.g. CIMP or XML messages)

- Receive Shipper’s Letter of Instruction from the shipper containing the secure cargo information (e.g. KC identifier or AC reference)

- Send Air Waybill Data messages to the carrier containing the secure cargo information ( e.g. SCO or SPX)

Note: It may be agreed bi-laterally that the secure information will also be included into the House waybill messages.

- Archive Shipper’s Letter of Instruction and Air Waybill Data message containing the secure cargo information

- Produce paper security declaration from electronic records (SLI and AWB data messages) on an ad hoc basis as needed.

5.3 Carriers (handling agent or self-handled carrier) should be able to: - Support EDI(e.g. CIMP or XML) messages

- Receive Shipper’s Letter of Instruction (XML equivalent) and Air Waybill Data messages from customers containing the secure cargo information (e.g. KC identifier or AC name)

- Send and receive Status messages and Airline Flight Manifest messages containing the secure cargo information ( e.g. SCO for all cargo and all mail aircraft and SPX)

- Archive Shipper’s Letter of Instruction message, Air Waybill Data message, status messages and Airline Flight Manifest messages

- Produce paper security declaration (SLI, AWB and Flight manifest data messages) on an ad hoc basis as needed

6 Data elements required per messages The security information requirements which are common to multiple countries will be included into standards fields using standard codes.

Security information which is country specific or temporary e.g. emergency amendments will be included into the text fields of the standard messages and will only get a standard code if many countries adopt it.

6.1 Data requirements – Consolidation In this section is listed all the necessary security information that has to be captured and transmitted in the electronic messages between the parties involved in the secure consolidation chain.

Letters in brackets are the reference to EC Regulation 185/2010 article 6.3.2.6.

Known Consignor or Account Consignor (Shipper) communication with the freight forwarder

In its letter of instructions to the freight forwarder the shipper will include:

- Unique ID for the consignment : SLI# (b)

- Consignment content (c)

- KC unique identifier or AC reference- of Shipper (e)

- NSC if the cargo is unsecure (d)

A Regulated Agent (freight forwarder) stores in its operating system the security data elements:



When receiving an unsecure consolidation, the freight forwarder will secure it.

The forwarder will store in its system for potential audit purpose the following information:

- The Regulated Agent unique ID of the freight forwarder(a) or (g) if sub-contracted

- Unique ID of the consignment: HWB# (b)


- Security code: SPX (d )

- Means used for screening or grounds for exemption (e)

Security status issue (f)

- Name or Employee ID – of freight forwarder

- Date and time

Security status issue (f) if subcontracted

- Regulated Agent ID if applicable – of freight forwarder subcontractor (a)

- Name or Employee ID – of freight forwarder sub-contractor

- Date/time

A Regulated Agent (freight forwarder) security statement in respect of a consolidation:

After the cargo has been consolidated and secured, the Regulated Agent (freight forwarder) will transmit an FWB (CIMP or XML equivalent) containing the following electronic secure information:

- Regulated Agent ID – of freight forwarder (a)

- Unique ID for the Consignment – AWB# (b)

- Consignment Content – consolidation (c)

- Either SCO or SPX (d)

Note: when bilaterally agreed between the parties the security information may be included in the OCI line of FHL.

A Regulated Agent (e.g. handling agent or self-handled carrier) screens unsecure cargo and stores in its operating system the security data elements



When the Regulated Agent (e.g. handler or self-handled carrier) receives unsecure cargo or secure cargo becomes unsecure after acceptance, the cargo will be secured. The Regulated Agent (e.g. handling agent or self-handled carrier) will store in its operating system the following electronic information for audit purposes:

- The Regulated Agent ID – of handler/airline (a) or (g) if sub-contracted Unique ID for the Consignment – AWB# (b)

- Consignment Content - consolidation (c)

- SPX (d)

- Screening method or grounds for exemption (e)

- Security Status Issue (f)

- Name or Employee ID - of handler/airline

- Date/time

Security Status Issue (f)


- Date/time

Security Status Issue (f) if sub-contracted

- The Regulated Agent ID if applicable – of handler/airline sub-contractor (a)

- Name or Employee ID – of handler/airline sub-contractor

- Date/time

A Regulated Agent (freight forwarder) security statement in respect of a consolidation of secure cargo:



When the Regulated Agent (freight forwarder) receives the secure cargo, it will transmit to the carrier an FWB (CIMP or XML equivalent) containing the following electronic secure information:

- The Regulated Agent ID - of Freight forwarder (a)

- Unique Consignent ID - AWB# (b)

- Consignment Content- consolidation(c)

- SCO or SPX (d)

A Regulated Agent (e.g. handling agent or self-handled carrier) screens unsecure cargo and transmits the security data elements:

When the Regulated Agent (handling agent or self-handled carrier) receives the unsecure cargo or secure cargo becomes unsecure after acceptance, it will secure the unsecure cargo and will transmit an FWB or XML equivalent containing the following electronic secure information:

- Regulated Agent ID – of handler/airline (a) or (g) if sub-contracted


- Consignment Content - consolidation (c)

- SPX (d)




- Date/time

Security Status Issue (f) if sub-contracted

- Regulated Agent ID if applicable – of handler/airline sub-contractor (a


- Date/time


A Regulated Agent (e.g. handling agent or self-handled carrier) secure information transmission on cargo manifest



When all cargo to be loaded on board is secured, the carrier will transmit the flight manifest (FFM or XML equivalent) containing the following electronic secure information:

- Unique consignment ID (b)

- Consignment content (e)

- SCO or SPX (d)

6.2 Data Requirements - Direct Shipment In this section is listed all the necessary security information that has to be captured and transmitted in the electronic messages between the parties involved in the secure direct shipment chain.

Letter in brackets are the reference to EC Regulation 185/2010 article 6.3.2.6.

As previously mentioned, even in a direct shipment, the involvement of the freight forwarder has to be considered as the entity providing logistic services to the shipper (e.g. pre-carriage handling, reception of the shipper letter of instruction and preparation of the air waybill).

A Known Consignor or Account Consignor (Shipper) communication

In case of direct shipment the Known Consignor or Account Consignor will transmit a SLI (paper or XML equivalent) to the freight forwarder containing the following secure information:

- Unique ID for the consignment : SLI# (b)


- KC unique identifier or AC reference – of Shipper (e)

- NSC if unsecure cargo (d)



If the freight forwarder acts as a logistic provider it will transmit to the Regulated Agent (e.g. handling agent or self-handled carrier) an air waybill data message (FWB or XML equivalent) containing the following secure information:

- Unique ID for the consignment - AWB# (b)

- Consignment Content (c)

- NSC for unsecure cargo (d)

- KC ID or AC name - of Shipper (e)

If the freight forwarder acts as a Regulated Agent and secures the cargo on behalf of the shipper, it will transmit to the Regulated Agent (e.g. handling agent or self-handled carrier) an air waybill data message (FWB or XML equivalent) containing the following secure information:

- Regulated Agent ID – of freight forwarder (a)

- Unique ID for the consignment – AWB# (b)


- SCO, SPX or NSC for unsecure cargo (d)



- Name or Employee ID - of freight forwarder (a)

- Date/time

A Regulated Agent (handling agent or self-handled carrier) store in its operating system the security data elements:

In the case the freight forwarder delivers to the carrier (e.g. handling agent or self-handled carrier) unsecure shipment or secure cargo becomes unsecure after acceptance, the Regulated Agent (e.g. handling agent or self-handled carrier) will screen and secure the cargo and will store in its operating system the following electronic secure information:

- The Regulated Agent ID – of handler/airline (a) or (g) if subcontracted



- SPX (d)






- Date/time

Security Status Issue (f) if sub-contracted:

- The Regulated Agent ID if applicable – of handler/airline sub-contractor (a)


- Date/time

A Regulated Agent (handling agent or self-handled carrier) security statement in respect of a shipment with KC/AC cargo:

When receiving Known Consignor or Account Consignor secure cargo, the Regulated Agent (Handling agent or self-handled carrier) will transmit the Air Waybill message (FWB or XML equivalent) with information coming from handling agent that secured the cargo:

- Regulated Agent ID – of handler/airline (a)



- SCO, SPX (d)

- Issue reason – KC or AC (e)

Security Status Issue (f):

- Name or Employee ID – of handler/airline

- Date/time

The Regulated Agent (handling agent or self-handled carrier) security statement after securing unsecure cargo:



When receiving Known Consignor or Account Consignor unsecure cargo or secure cargo becomes unsecure after acceptance, the Regulated Agent (e.g. handling agent or self-handled carrier) will secure the cargo and transmit the Air Waybill message (FWB or XML equivalent) with the following information:

- Regulated Agent ID - handler or airline (a) or (g) if sub-contracted

- Unique Consignment ID – AWB# (b)


- SPX (d)


Security Status Issue (f):

- Name or Employee ID – of Regulated Agent handler/airline (a)

- Date/time

Security Status Issue (f) if sub-contracted:

- Regulated Agent ID if applicable – of sub-contractor (a)

- Name or Employee ID – of sub-contractor

- Date/time

Note: In case the handling agent secures any unsecure cargo, it will send back to the carrier at origin the status message (FSU) including the security information

A Regulated Agent (handling agent or self-handled carrier) secure information transmission on cargo manifest

When all cargo to be loaded on board is secured, the carrier will transmit the flight manifest (FFM or XML equivalent) containing the following electronic secure information:






- Consignment content (e)

- SCO or SPX (d)

7 Code List The code list mirrors the order and the language of the EC Regulation185/2010

Secure information:

- Unique ID of RA (a)



Note: the expiry date of the RA is included into the ID of the RA.

Security status of the consignment (d):

- SPX: Secure for passenger, all-cargo and all-mail aircraft

- SCO: Secure for all-cargo and all-mail aircraft only

- NSC: Not secured cargo

Reason that the security status was issued (e):

- KC: Known Consignor (consignor for passenger and all cargo and all mail aircraft only)

- AC: Account Consignor (consignor for all cargo and all mail aircraft only)

- ID of KC and AC reference (cannot exceed 35 an characters)

- Expiry date for KC

Means of screening (e):

- Physical Inspection and/or hand search (PHS);

- Visual check (VCK);

- X-ray equipment (XRY);

- Explosive Detection Systems (EDS);

- Remote Explosive Scent Tracing Explosive Detection Dogs (RES)

- Free Running Explosive Detection Dogs (FRD)

- Vapor Explosive Trace Detection(VPT)

- Particle Explosive Trace Detection (PRT)

- Cargo and Mail Metal Detection Equipment (MDE)

- Subjected to any other means (AOM)

Grounds for exempting the consignment from screening (e):

Specifics of consignment exempted from screening are described in a restricted EU decision and will not be listed here after. Regulators will be aware of the IATA standard codes to be used for cargo exempted from screening.



Note: In case carriers want to include, for security reasons, the transferring carrier flight number and date in the transfer information, this may be added as optional information and it will appear in the comments if a layout is printed.

Other Secure information:

Name of the person who issued the security status, or an equivalent identification (f)

Date and time of issue of the security status (f)

The Regulated Agents ID of parties accepting another RA security status (if applicable) (g)

8 Consignment Security Declaration Layout In order to avoid the multiplicity of paper security declaration formats, IATA proposes a draft of the consignment security declaration that is aligned with the EC Regulations but could also be aligned with third countries requirements and for MAWB and HWB purposes.



Annex A

Consignment Security Declaration Layout



Annex B

Consignment Security Declaration Layout

Completion Instructions



Comple t ion Ins t ruc t ions

1 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.3 ISO Country Code + Ref. 29.5 Information Identifier (ISS) + Ref. 29.7 Customs Information Identifier (RA and ED) + Ref. 29.9 Supplementary Customs Information

ISS - the regulated agent issuing the security status

OCI/GB/ISS/RA/001-011

///ED/0213

2 Ref. 2.1 AWB Identification 3 Ref. 12.11 Goods Description or Ref. 12.12 Consolidation 4 Ref. 25. Special Handling Details 5 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.3 ISO

Country Code + Ref. 29.5 Information Identifier (ISS) + Ref. 29.7 Customs Information Identifier (KC + ED) + Ref. 29.9 Supplementary Customs Information:

OCI/GB//KC/001-011

///ED/0213 6 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.7

Customs Information Identifier (SM) + Ref. 29.9 Supplementary Customs Information

///SM/RES

///SM/AOM-SPECIFY ANY OTHER MEANS 7 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.7

Customs Information Identifier (L) + Ref. 29.9 Supplementary Customs Information

///L/DIPL 8 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.7

Customs Information Identifier (SN) + Ref. 29.9 Supplementary Customs Information

///SN/JOHNNY WALKER

9 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.7

Customs Information Identifier (SD) + Ref. 29.9 Supplementary Customs Information

///SD/05031200 10 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.3 ISO

Country Code + Ref. 29.5 Information Identifier (OSS) + Ref. 29.7 Customs Information Identifier (RA and ED) + Ref. 29.9 Supplementary Customs Information

OSS - the regulated agent accepting the security status given by another regulated agent

OCI/GB/ISS/RA/001-011

///ED/0213



/GB/OSS/RA/002-022

///ED/0213 11 Ref. 29 Other Customs, Security and Regulatory Control Information in particular Ref. 29.7

Customs Information Identifier (ST)+ Ref. 29.9 Supplementary Customs Information

///ST/THIS MASTER AIR WAYBILL CONTAINS NO

///ST/1. FREIGHT FROM THAT COUNTRY

///ST/2. TONER CARTRIDGE GREATER THAN 550

//ST/ GRAMS TRANSFERRING THIS COUNTRY

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