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2016 OAS Guidelines

Subsection 6.4: Load units

In order to comply with the criterion mentioned in Article 28, paragraph 1, letter c) of the AE CAU, measures for handling goods must be taken, including protection against unauthorized introduction or substitution or loss of goods and alteration of loading units.

Cargo units include containers, tanks, vans, trucks, vehicles, pipelines, etc., used for the transport of goods. You must have procedures in place to examine the integrity of cargo units before loading. During the audit visit, information on the owners or suppliers of the cargo units must be accessed.

6.4.1

The integrity of the loading units must be guaranteed, for example, by subjecting them to constant monitoring or storing them in secure, locked areas, or by inspecting them prior to use. Only duly identified and authorized personnel should have access to the cargo units. Your procedures must provide for:

  • the way of controlling access to the areas where the cargo units are stored, (e.g. ex. staff, external truck drivers, etc.),
  • the guarantee of exclusive access for authorized persons,
  • the way of permanently controlling the loading units, for example, by designating responsible persons and substitutes.

6.4.2

Your procedures must provide for:

  • the designation of a person in charge to whom any incidents that occur are reported,
  • the methods of reporting and recording incidents,
  • the actions to be taken, and in particular the communication to the security forces or management staff,
  • the review and modification of existing procedures,
  • notification of any changes to staff.

During the visit, customs authorities may request proof of these checks.

6.4.3. a) and b)

Describe the type of seals you use and the standards they must meet. Please provide the name of the manufacturer and the procedure for issuing the seals and recording their delivery, use, and removal.

Document the procedures you use to deal with broken or tampered seals.

6.4.4

Depending on the load unit you use, you will need to perform a seven-point inspection process (which must also be applied to the traction unit):

  • front,
  • left side
  • right side
  • floor,
  • interior/exterior roof,
  • interior/exterior doors,
  • exterior/bottom.

6.4.5, a) ad)

Maintenance should be carried out regularly, not just in the event of damage or incidents. If maintenance is performed outside and without the supervision of your personnel, the integrity of the cargo unit must be inspected upon its return to your facility. Your procedures must provide for:

  • the requirement that its staff check the integrity of the cargo units when they return to the company,
  • the determination of the controls to be carried out, their frequency and the persons responsible for carrying them out,
  • the way of communicating the procedures applied to your staff,
  • management controls and the frequency with which they are carried out in order to ensure the re-examination of the units.

Please explain whether you systematically check your cargo units before accepting any incoming cargo or before loading goods for clearance and whether you have included procedures in the documents mentioned in questions 6.1.2. a) and b).