Key Reminders and Best Practices for Addressing Common Compliance Issues
The Hong Kong Civil Aviation Department (HKCAD) has recently issued Notice No. 1/2025, providing important guidelines for Regulated Agents (RAs) on strengthening compliance with the Regulated Agent Security Programme (RASP) and related requirements. Based on a risk-based approach, this notice identifies common issues observed during inspections and offers specific recommendations to ensure the security and integrity of the air cargo supply chain.
Common Compliance Issues and Recommended Practices
HKCAD highlights seven key areas of common issues:
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Document Accuracy and Management: Some RAs fail to maintain Shipper’s Letters of Instruction (SLI) for each consignment or ensure data accuracy. It’s recommended to retain records of information requests and confirmations from shippers as supporting evidence in case of investigation.
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Inter-RA Handling Documentation: Misunderstandings when completing the Form of Undertaking for Inter-RA AWB Handling (FoU), particularly regarding the selection of known or unknown cargo status. Selections should be based on the security status when cargo is tendered to terminal operators, and forms must be signed by authorized personnel.
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Timely Updates to Security Declarations: Failure to update the Regulated Agent Aviation Security Declaration (RAASD) after address changes or changes in RA status. This one-time declaration for a specific address must be renewed and partners notified of any changes.
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Accuracy in Self-Assessment: Some self-assessments fail to accurately reflect actual practices, missing opportunities for early detection of deficiencies. RAs should conduct comprehensive self-assessments at least once every two years and maintain records for three years.
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Recruitment Documentation: Templates for job application forms and interview records must be maintained even without active recruitment plans, ensuring proper tracking of applicants’ five-year history.
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Contractor Training Records: Failure to maintain security awareness training records for contractors’ staff. RAs must ensure all contractor personnel with access to cargo receive necessary training and maintain verification of trainer qualifications.
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Renewal of Contractor Declarations: Warehouse and Transportation Contractor Declarations must be renewed every two years, including declarations from all subcontractors, to ensure the effectiveness of background checks.
Contractor Monitoring and Non-Compliance Reporting
HKCAD emphasizes that RAs are responsible for monitoring their contractors’ performance, even when contractors are registered as Regulated Air Cargo Screening Facilities (RACSFs). The industry is encouraged to report suspected non-compliance through email or mail, providing detailed information including the entity involved, specifics of non-compliance, related cargo information, and supporting documentation.
針對常見合規問題的關鍵提醒與最佳實踐建議
香港民航處最近發布第1/2025號通告，為管制代理人提供有關如何加強遵守《管制代理人保安計劃書》及相關規定的重要指引。此通告基於風險管理原則，識別了巡查中發現的常見問題，並提出具體建議，以確保航空貨運供應鏈的安全與完整性。
常見合規問題及建議做法
民航處特別指出七個關鍵領域的常見問題：
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文件準確性與管理：部分管制代理人未有為每票貨物備存貨物托運書(SLI)或確保資料完整準確。建議保留向付運人索取資訊或確認的記錄，作為調查時的證明。
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管制代理人之間的合作文件：填寫《管制代理人之間相互借單承諾書表格》(還/借單信)時存在誤解，特別是關於已知或非已知貨物的選擇。應根據貨物在交付貨運站時的保安狀態作出正確選擇，並確保由負責人或指定人簽署。
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保安聲明的及時更新：地址變更或管制代理人資格變更時未有更新《管制代理人航空保安聲明》(RAASD)。此為一次性聲明，任何變更都需重新簽署並通知合作夥伴。
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自我評估的真實性：部分自我評估未能如實反映實際情況，錯失及早發現問題的機會。管制代理人應至少每兩年進行一次全面自我評估，並保存記錄三年。
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人事招聘文件：即使沒有招聘計劃，仍需備存符合規定的職位申請表及面試記錄範本，確保可追蹤求職者過去五年經歷。
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承辦商培訓記錄：未有備存承辦商員工的保安意識培訓記錄。管制代理人須確保所有可接觸貨物的承辦商員工均完成必要培訓，並保存培訓證明。
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承辦商聲明的更新：須每兩年更新《貨倉承辦商聲明》及《運輸承辦商聲明》，包括所有分判商的聲明，以確保背景調查的有效性。
承辦商監察與違規舉報
民航處強調，管制代理人有責任監察其承辦商的表現，即使承辦商是已註冊的管制空運貨物安檢設施。同時，鼓勵業界積極舉報任何違規情況，可通過電郵或郵寄方式向民航處提供詳細資料，包括涉事單位、違規細節、相關貨物資訊及證明文件。
