Commission Implementing Regulation (EU) 2015/1998Show full title

ANNEX U.K.

1. AIRPORT SECURITY U.K.

1.0 GENERAL PROVISIONS U.K.

1.0.1 Unless otherwise stated, the authority, airport operator, air carrier or entity responsible in accordance with the national civil aviation security programme referred to in Article 10 of Regulation (EC) No 300/2008 shall ensure the implementation of the measures set out in this Chapter. U.K.

1.0.2 For the purposes of this Chapter, an aircraft, bus, baggage cart or other means of transport, or a walkway or jetway, shall be regarded as a part of an airport. U.K.

For the purposes of this Chapter, ‘secured baggage’ means screened departing hold baggage that is physically protected so as to prevent the introduction of any objects.

[F1 1.0.3 Without prejudice to the criteria for derogations as set out in Part K of the Annex to Commission Regulation (EC) No 272/2009 (1) , the appropriate authority may allow special security procedures or exemptions for the protection and security of airside areas at airports on days on which there is not more than one aircraft to be loaded, unloaded, boarded or disembarked at any one time either within the critical part of the security restricted area or at an airport that falls outside of the scope of point 1.1.3.] U.K.

Textual Amendments

F1 Substituted by Commission Implementing Regulation (EU) 2017/815 of 12 May 2017 amending Implementing Regulation (EU) 2015/1998 as regards clarification, harmonisation and simplification of certain specific aviation security measures (Text with EEA relevance).

1.0.4 For the purposes of this Annex ‘items carried by persons other than passengers’ refers to the belongings intended for the personal use of the person that carries them. U.K.

1.0.5 References to third countries in this Chapter and where applicable in Commission Implementing Decision C(2015) 8005 final(2) include other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, the Title VI of Part Three of that Treaty does not apply. U.K.

1.1 AIRPORT PLANNING REQUIREMENTS U.K.

1.1.1 Boundaries U.K.

1.1.1.1 Boundaries between landside, airside, security restricted areas, critical parts and, where applicable, demarcated areas shall be clearly identifiable at each airport in order to enable the appropriate security measures to be taken in each of those areas. U.K.

1.1.1.2 The boundary between landside and airside shall be a physical obstruction that is clearly visible to the general public and which denies a person unauthorised access. U.K.

1.1.2 Security restricted areas U.K.

1.1.2.1 Security restricted areas shall include at least the following: U.K.

(a)

a part of an airport to which screened departing passengers have access; and

(b)

a part of an airport through which screened departing hold baggage may pass or in which it may be held, unless it concerns secured baggage; and

(c)

a part of an airport designated for the parking of aircraft to be boarded or loaded.

1.1.2.2 A part of an airport shall be regarded as a security restricted area at least for the period of time that the activities referred to in point 1.1.2.1 are taking place. U.K.

When a security restricted area is established, a security search of the parts that could have been contaminated shall be carried out immediately before such an area is established in order to reasonably ensure that it does not contain prohibited articles. This provision shall be considered to be met for aircraft that are subject to an aircraft security search.

1.1.2.3 Whenever unauthorised persons may have had access to security restricted areas, a security search of the parts that could have been contaminated shall be carried out as soon as possible in order to reasonably ensure that it does not contain prohibited articles. This provision shall be considered to be met for aircraft that are subject to an aircraft security search. U.K.

1.1.3 Critical parts of security restricted areas U.K.

[F1 1.1.3.1 Critical parts shall be established at airports where more than 60 persons hold airport identification cards giving access to security restricted areas.] U.K.

1.1.3.2 Critical parts shall include at least the following: U.K.

(a)

all parts of an airport to which screened departing passengers have access; and

(b)

all parts of an airport through which screened departing hold baggage may pass or in which it may be held, unless it concerns secured baggage.

A part of an airport shall be regarded as a critical part at least for the period of time that the activities referred to in points (a) or (b) are taking place.

1.1.3.3 When a critical part is established, a security search of the parts that could have been contaminated shall be carried out immediately before such a part is established in order to reasonably ensure that it does not contain prohibited articles. This provision shall be considered to be met for aircraft that are subject to an aircraft security search. U.K.

1.1.3.4 Whenever unscreened persons or passengers and crew members arriving from third countries other than those listed in Attachment 4-B may have had access to critical parts, a security search of those parts that could have been contaminated shall be carried out as soon as possible in order to reasonably ensure that it does not contain prohibited articles. U.K.

Paragraph 1 shall be considered to be met for aircraft that are subject to an aircraft security search.

Paragraph 1 shall not apply when persons covered by point 1.3.2 and point 4.1.1.7 have had access to critical parts.

As far as passengers and crew members arriving from third countries other than those listed in Attachment 4-B are concerned, paragraph 1 shall only apply to those critical parts that are used by screened hold baggage and/or screened departing passengers not departing on the same aircraft as these passengers and crew members.

1.2 ACCESS CONTROL U.K.

1.2.1 Access to airside U.K.

1.2.1.1 Access to airside may only be authorised if persons and vehicles have a legitimate reason to be there. Guided tours of the airport escorted by authorised persons shall be considered to have a legitimate reason. U.K.

1.2.1.2 In order to be granted access to airside a person shall carry an authorisation. U.K.

1.2.1.3 In order to be granted access to airside a vehicle shall display a vehicle pass. U.K.

1.2.1.4 Persons who are airside shall, upon request, present their authorisation for control. U.K.

1.2.2 Access to security restricted areas U.K.

1.2.2.1 Access to security restricted areas may only be granted if persons and vehicles have a legitimate reason to be there. Guided tours of the airport escorted by authorised persons shall be considered to have a legitimate reason. U.K.

1.2.2.2 In order to be granted access to security restricted areas a person shall present one of the following authorisations: U.K.

(a)

a valid boarding card or equivalent; or

(b)

a valid crew identification card; or

(c)

a valid airport identification card; or

(d)

a valid national appropriate authority identification card; or

(e)

a valid compliance authority identification card recognised by the national appropriate authority.

Alternatively, access may also be granted after positive identification via biometric data verification.

1.2.2.3 In order to be granted access to security restricted areas a vehicle shall display a valid vehicle pass. U.K.

1.2.2.4 The boarding card or equivalent referred to in point 1.2.2.2(a) shall be checked before a person is granted access to security restricted areas in order to reasonably ensure that it is valid. U.K.

The card referred to in points 1.2.2.2(b)-(e), respectively, shall be checked before a person is granted access to security restricted areas in order to reasonably ensure that it is valid and corresponds to the holder.

Where biometric identification is used, the verification shall ensure that the person seeking access to security restricted areas holds one of the authorisations listed under point 1.2.2.2 and that this authorisation is valid and was not disabled.

1.2.2.5 In order to prevent unauthorised access to security restricted areas access points shall be controlled by: U.K.

(a)

an electronic system which limits access to one person at a time; or

(b)

authorised persons implementing access control.

The appropriate authority may define in its national aviation security programme that the limitation to one person at a time under point (a) does not apply at access points exclusively used by law enforcement officers.

1.2.2.6 The vehicle pass shall be checked before a vehicle is granted access to security restricted areas to ensure that it is valid and corresponds to the vehicle. U.K.

1.2.2.7 Access to security restricted areas shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

1.2.3 Requirements for Union crew identification cards and airport identification cards U.K.

1.2.3.1 A crew identification card of a crew member employed by a Union air carrier and an airport identification card may only be issued to a person who has an operational need and has successfully completed a background check in accordance with point 11.1.3. U.K.

1.2.3.2 Crew and airport identification cards shall be issued for a period not exceeding five years. U.K.

1.2.3.3 The identification card of a person who fails a background check shall be immediately withdrawn. U.K.

1.2.3.4 The identification card shall be worn in a visible place at least whenever the holder is in security restricted areas. U.K.

A person who is not displaying his card in security restricted areas other than those areas where passengers are present shall be challenged by persons responsible for the implementation of point 1.5.1(c) and, as appropriate, be reported.

1.2.3.5 The identification card shall be returned immediately to the issuing entity: U.K.

(a)

upon request of the issuing entity; or

(b)

upon termination of employment; or

(c)

upon change of employer; or

(d)

upon change of the need to have access to areas for which an authorisation has been given; or

(e)

upon expiry of the card; or

(f)

upon withdrawal of the card.

1.2.3.6 The issuing entity shall be notified immediately of the loss, theft or failure to return an identification card. U.K.

1.2.3.7 An electronic card shall be immediately disabled following return, expiry, withdrawal or notification of loss, theft or failure to return. U.K.

1.2.3.8 Union crew identification cards and airport identification cards shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

1.2.4 Supplementary requirements for Union crew identification cards U.K.

1.2.4.1 A crew identification card of a crew member employed by a Union air carrier shall display: U.K.

(a)

the name and photograph of the holder; and

(b)

the name of the air carrier; and

(c)

the word ‘crew’ in English; and

(d)

the expiry date.

1.2.5 Supplementary requirements for airport identification cards U.K.

1.2.5.1 An airport identification card shall display: U.K.

(a)

the name and photograph of the holder; and

(b)

the name of the employer of the holder, unless electronically programmed; and

(c)

the name of either the issuing entity or the airport; and

(d)

the areas for which the holder is authorised to have access; and

(e)

the expiry date, unless electronically programmed.

The names and areas of access may be replaced by an equivalent identification.

1.2.5.2 In order to prevent the misuse of airport identification cards, a system shall be in place to reasonably ensure that attempted use of cards that have been lost, stolen or not returned is detected. Upon detection, appropriate action shall be taken. U.K.

1.2.6 Requirements for vehicle passes U.K.

1.2.6.1 A vehicle pass may only be issued where an operational need has been established. U.K.

1.2.6.2 A vehicle pass shall be specific to the vehicle and display: U.K.

(a)

the areas for which it is authorised to have access; and

(b)

the expiry date.

[ F2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Textual Amendments

F2 Deleted by Commission Implementing Regulation (EU) 2017/815 of 12 May 2017 amending Implementing Regulation (EU) 2015/1998 as regards clarification, harmonisation and simplification of certain specific aviation security measures (Text with EEA relevance).

[F1 1.2.6.3 An electronic vehicle pass shall, either: U.K.

(a)

be fixed to the vehicle in a manner which ensures that it is non-transferable; or

(b)

be linked to the registered vehicle user through a secure vehicle registration database.

Electronic vehicle passes need not display the areas for which the vehicle is authorised to have access nor the expiry date, provided that this information is electronically readable and checked before granting access to security restricted areas. Electronic vehicle passes shall also be electronically readable in security restricted areas.]

1.2.6.4 The vehicle pass shall be displayed in a visible place whenever the vehicle is airside. U.K.

1.2.6.5 The vehicle pass shall be returned immediately to the issuing entity: U.K.

(a)

upon request of the issuing entity; or

(b)

when the vehicle is no longer to be used for access to airside; or

(c)

upon expiry of the pass, unless the pass is automatically invalidated.

1.2.6.6 The issuing entity shall be notified immediately of the loss, theft or failure to return a vehicle pass. U.K.

1.2.6.7 An electronic vehicle pass shall be immediately disabled following return, expiry or notification of loss, theft or failure to return. U.K.

1.2.6.8 In order to prevent the misuse of vehicle passes, a system shall be in place to reasonably ensure that attempted use of vehicle passes that have been lost, stolen or not returned is detected. Upon detection, appropriate action shall be taken. U.K.

1.2.6.9 Vehicles that are only used airside and have no permission to drive on public roads may be exempted from application of points 1.2.6.2 to 1.2.6.8 provided that they are clearly marked externally as operational vehicles in use at that airport. U.K.

1.2.7 Escorted access U.K.

1.2.7.1 Crew members, other than those holding a valid airport identification card, shall be escorted at all times when in security restricted areas other than: U.K.

(a)

areas where passengers may be present; and

(b)

areas in the immediate proximity of the aircraft on which they have arrived or will depart; and

(c)

areas designated for crews; and

(d)

distances between the terminal or access point and the aircraft on which crew members have arrived or will depart.

1.2.7.2 Exceptionally, a person may be exempted from the requirements of point 1.2.5.1 and obligations on background checks on condition that that person is escorted at all times when in security restricted areas. A person may be exempted from the requirement to be escorted if that person displays an authorisation and is a holder of a valid airport identification card. U.K.

1.2.7.3 An escort shall: U.K.

(a)

hold a valid identification card as referred to in point 1.2.2.2(c), (d) or (e); and

(b)

be authorised to escort in security restricted areas; and

(c)

have the escorted person or persons in direct line of sight at all times; and

(d)

reasonably ensure that no security breach is committed by the person or persons being escorted.

1.2.7.4 A vehicle may be exempted from the requirements of point 1.2.6 on condition that it is escorted at all times when airside. U.K.

1.2.7.5 Whenever a passenger does not travel as a result of an air carriage contract resulting in the delivery of a boarding pass or equivalent, a crew member escorting this passenger may be exempted from the requirements of point 1.2.7.3(a). U.K.

1.2.8 Other exemptions U.K.

Other exemptions shall be subject to provisions laid down in Commission Implementing Decision C(2015) 8005.

1.3 SCREENING OF PERSONS OTHER THAN PASSENGERS AND ITEMS CARRIED U.K.

1.3.1 Screening of persons other than passengers and items carried U.K.

1.3.1.1 Persons other than passengers shall be screened by one of the following means: U.K.

(a)

hand search;

(b)

walk-through metal detection equipment (WTMD);

(c)

explosive detection dogs;

(d)

explosive trace detection (ETD) equipment;

(e)

security scanners which do not use ionising radiation;

(f)

explosive trace detection (ETD) equipment combined with hand held metal detection (HHMD) equipment.

1.3.1.2 Points 4.1.1.3 – 4.1.1.6 and 4.1.1.10 – 4.1.1.11 shall apply to the screening of persons other than passengers. U.K.

1.3.1.3 Explosive detection dogs and ETD equipment may only be used as a supplementary means of screening of persons other than passengers or in unpredictable alternation with hand searches, WTMD or security scanners. U.K.

1.3.1.4 Items carried by persons other than passengers shall be screened by one of the following means: U.K.

(a)

hand search;

(b)

x-ray equipment;

(c)

explosive detection systems (EDS) equipment;

(d)

explosive detection dogs;

(e)

explosive trace detection (ETD) equipment.

1.3.1.5 Points 4.1.2.4 – 4.1.2.7 and 4.1.2.11 shall apply to the screening of items carried by persons other than passengers. U.K.

1.3.1.6 Explosive detection dogs and ETD equipment may only be used as a supplementary means of screening of items carried by persons other than passengers or in unpredictable alternation with hand searches, x-ray equipment or EDS equipment. U.K.

1.3.1.7 Where persons other than passengers and items carried have to be screened on a continuous random basis, the frequency shall be established by the appropriate authority on the basis of a risk assessment. U.K.

[F1 1.3.1.8 Animals used for operational needs and handled by a person carrying a valid airport identification card shall be subjected to a visual check before access to security restricted areas is granted.] U.K.

[F3 1.3.1.9 The screening of persons other than passengers and items carried shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005.] U.K.

Textual Amendments

F3 Inserted by Commission Implementing Regulation (EU) 2017/815 of 12 May 2017 amending Implementing Regulation (EU) 2015/1998 as regards clarification, harmonisation and simplification of certain specific aviation security measures (Text with EEA relevance).

1.3.2 Exemptions and special screening procedures U.K.

1.3.2.1 The appropriate authority may, for objective reasons, allow persons other than passengers to be exempted from screening, or to be subjected to special screening procedures, provided that they are escorted by a person authorised to escort in accordance with point 1.2.7.3. U.K.

1.3.2.2 Screened persons other than passengers who temporarily leave critical parts may be exempted from screening on their return provided that they have been under constant observation by authorised persons sufficient to reasonably ensure that they do not introduce prohibited articles into those critical parts. U.K.

1.3.2.3 Exemptions and special screening procedures shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

1.4 EXAMINATION OF VEHICLES U.K.

1.4.1 Vehicles entering critical parts U.K.

1.4.1.1 All vehicles shall be examined before entering critical parts. They shall be protected from unlawful interference from after examination until entering critical parts. U.K.

1.4.1.2 The driver and any other occupants of the vehicle shall not be in the vehicle when the examination takes place. They shall be required to take their personal belongings out of the vehicle with them for screening. U.K.

1.4.1.3 There shall be defined methodologies to ensure the randomness of selection of the areas to be examined. U.K.

1.4.1.4 Vehicles entering critical parts shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

1.4.2 Vehicles entering security restricted areas other than critical parts U.K.

1.4.2.1 The driver and any other occupants of the vehicle shall not be in the vehicle when the examination takes place. They shall be required to take their personal belongings out of the vehicle with them for screening. U.K.

1.4.2.2 There shall be defined methodologies to ensure the randomness of selection of both vehicles and the areas to be examined. U.K.

1.4.2.3 Vehicles entering security restricted areas other than critical parts shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

1.4.3 Methods of examination U.K.

1.4.3.1 A hand search shall consist of a thorough manual check of the areas selected, including contents, in order to reasonably ensure that they do not contain prohibited articles. U.K.

1.4.3.2 The following methods may only be used as a supplementary means of examination: U.K.

(a)

explosive detection dogs; and

(b)

explosive trace detection (ETD) equipment.

1.4.3.3 Methods of examination shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

1.4.4 Exemptions and special examination procedures U.K.

1.4.4.1 The appropriate authority may, for objective reasons, allow vehicles to be exempted from examination, or to be subjected to special examination procedures, provided that they are escorted by a person authorised to escort in accordance with point 1.2.7.3. U.K.

1.4.4.2 Exemptions and special examination procedures shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

1.5 SURVEILLANCE, PATROLS AND OTHER PHYSICAL CONTROLS U.K.

1.5.1 Surveillance or patrols shall be undertaken in order to monitor: U.K.

(a)

the boundaries between landside, airside, security restricted areas, critical parts and, where applicable, demarcated areas; and

(b)

areas of, and in proximity of, the terminal that are accessible to the public, including parking areas and roadways; and

(c)

the display and validity of persons' identification cards in security restricted areas other than those areas where passengers are present; and

(d)

the display and validity of vehicle passes when airside; and

(e)

hold baggage, cargo and mail, in-flight supplies and air carrier mail and materials in critical parts waiting to be loaded.

1.5.2 The frequency and means of undertaking surveillance and patrols shall be based on a risk assessment and shall be approved by the appropriate authority. They shall take into account: U.K.

(a)

the size of the airport, including the number and nature of the operations; and

(b)

the layout of the airport, in particular the interrelationship between the areas established at the airport; and

(c)

the possibilities and limitations of means of undertaking surveillance, and patrols.

The parts of the risk assessment relating to the frequency and means of undertaking surveillance and patrols shall, upon request, be made available in writing for compliance monitoring purposes.

1.5.3 Surveillance and patrols shall not follow a predictable pattern. The validity of identification cards shall be checked on a random basis. U.K.

1.5.4 Measures shall be in place that both deter persons from breaching security checkpoints and, should such a breach occur, promptly enable the breach and its repercussions to be resolved and rectified. U.K.

1.6 PROHIBITED ARTICLES U.K.

1.6.1 Persons other than passengers shall not be permitted to carry into security restricted areas the articles listed in Attachment 1-A. U.K.

1.6.2 An exemption to point 1.6.1 may be granted on condition that the person is authorised to carry prohibited articles into security restricted areas in order to undertake tasks that are essential for the operation of airport facilities or of aircraft, or for performing in-flight duties. U.K.

1.6.3 In order to allow reconciliation of the person authorised to carry one or more articles as listed in Attachment 1-A with the article carried: U.K.

(a)

the person shall have an authorisation and shall carry it. The authorisation shall either be indicated on the identification card that grants access to security restricted areas or on a separate declaration in writing. The authorisation shall indicate the article(s) that may be carried, either as a category or as a specific article. If the authorisation is indicated on the identification card, then it shall be recognisable on a need-to-know basis; or

(b)

a system shall be in place at the security checkpoint indicating which persons are authorised to carry which article(s), either as a category or as a specific article.

[F1 1.6.4 Reconciliation shall be performed before the person is allowed to carry the article(s) concerned into security restricted areas and upon being challenged by persons performing surveillance or patrols under point (c) of point 1.5.1.] U.K.

1.6.5 Articles as listed in Attachment 1-A may be stored in security restricted areas provided they are kept in secure conditions. Articles as listed in points (c), (d) and (e) of Attachment 4-C may be stored in security restricted areas provided they are not accessible to passengers. U.K.

ATTACHMENT 1-A U.K.

PERSONS OTHER THAN PASSENGERS U.K.

LIST OF PROHIBITED ARTICLES U.K.

(a)

guns, firearms and other devices that discharge projectiles — devices capable, or appearing capable, of being used to cause serious injury by discharging a projectile, including:

• firearms of all types, such as pistols, revolvers, rifles, shotguns,

• toy guns, replicas and imitation firearms capable of being mistaken for real weapons,

• component parts of firearms, excluding telescopic sights,

• compressed air and CO₂ guns, such as pistols, pellet guns, rifles and ball bearing guns,

• signal flare pistols and starter pistols,

• bows, cross bows and arrows,

• harpoon guns and spear guns,

• slingshots and catapults;

(b)

stunning devices — devices designed specifically to stun or immobilise, including:

• devices for shocking, such as stun guns, tasers and stun batons,

• animal stunners and animal killers,

• disabling and incapacitating chemicals, gases and sprays, such as mace, pepper sprays, capsicum sprays, tear gas, acid sprays and animal repellent sprays;

(c)

explosives and incendiary substances and devices — explosives and incendiary substances and devices capable, or appearing capable, of being used to cause serious injury or to pose a threat to the safety of aircraft, including:

• ammunition,

• blasting caps,

• detonators and fuses,

• replica or imitation explosive devices,

• mines, grenades and other explosive military stores,

• fireworks and other pyrotechnics,

• smoke-generating canisters and smoke-generating cartridges,

• dynamite, gunpowder and plastic explosives.

(d)

any other article capable of being used to cause serious injury and which is not commonly used in security restricted areas, e.g. martial arts equipment, swords, sabres, etc.

2. DEMARCATED AREAS OF AIRPORTS U.K.

No provisions in this Regulation.

3. AIRCRAFT SECURITY U.K.

3.0 GENERAL PROVISIONS U.K.

3.0.1 Unless otherwise stated, an air carrier shall ensure the implementation of the measures set out in this Chapter as regards its aircraft. U.K.

3.0.2 Third countries where the security standards applied are recognised as equivalent to the common basic standards as regards aircraft security are listed in Attachment 3-B. U.K.

3.0.3 An aircraft need not be subjected to an aircraft security check. It shall be subjected to an aircraft security search in accordance with point 3.1. U.K.

3.0.4 An air carrier shall, upon request, be notified by the airport operator whether or not its aircraft is in a critical part. When this is not clear, it shall be assumed that the aircraft is in a part other than a critical part. U.K.

3.0.5 When an area is no longer considered to be a critical part because of a change of security status then the airport shall inform those carriers that are affected. U.K.

[F1 3.0.6 The list of prohibited articles for aircraft security searches of the interior of aircraft is the same as the one set out in Attachment 1-A. Assembled explosive and incendiary devices shall be considered as prohibited articles for aircraft security searches of the exterior of aircraft.] U.K.

[F3 3.0.7 For the purpose of this Chapter, ‘ aircraft service panels and hatches ’ means aircraft external access points and compartments that have external handles or external clip-down panels and are routinely used for providing aircraft ground handling services. U.K.

3.0.8 References to third countries in this Chapter and in Commission Implementing Decision C(2015) 8005 include other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, Title VI of Part Three of that Treaty does not apply.] U.K.

3.1 AIRCRAFT SECURITY SEARCH U.K.

3.1.1 When to perform an aircraft security search U.K.

3.1.1.1 An aircraft shall at all times be subjected to an aircraft security search whenever there is reason to believe that unauthorised persons may have had access to it. U.K.

3.1.1.2 An aircraft security search shall consist of an examination of defined areas of an aircraft that are laid down in Commission Implementing Decision C(2015) 8005. U.K.

3.1.1.3 An aircraft arriving into a critical part from a third country not listed in Attachment 3-B shall be subjected to an aircraft security search any time after passenger disembarkation from the area to be searched and/or the unloading of the hold. U.K.

3.1.1.4 An aircraft arriving from a Member State where it was in transit after having arrived from a third country not listed in Attachment 3-B shall be considered as an aircraft arriving from a third country. U.K.

3.1.1.5 When to perform an aircraft security search shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

3.1.2 How to perform an aircraft security search U.K.

How to perform an aircraft security search shall be subject to the provisions laid down in Commission Implementing Decision C(2015) 8005.

3.1.3 Information on the aircraft security search U.K.

The following information on the aircraft security search of a departing flight shall be recorded and kept at a point not on the aircraft for the duration of the flight or for 24 hours, whichever is longer:

(a)

flight number; and

(b)

origin of the previous flight.

Where an aircraft security search was performed, the information shall also include:

(c)

date and time that the aircraft security search was completed; and

(d)

the name and signature of the person responsible for the performance of the aircraft security search.

3.2 PROTECTION OF AIRCRAFT U.K.

3.2.1 Protection of aircraft — General U.K.

3.2.1.1 Regardless of where an aircraft is parked at an airport, each of its external doors shall be protected against unauthorised access by: U.K.

(a)

ensuring that persons seeking to gain unauthorised access are challenged promptly; or

(b)

having the external door closed. Where the aircraft is in a critical part, external doors that are not accessible by a person from the ground shall be considered closed if access aids have been removed and placed sufficiently far from the aircraft as to reasonably prevent access by a person; or

(c)

having electronic means which will immediately detect unauthorised access; or;

(d)

having an electronic airport identification card access system at all doors leading directly to the passenger boarding bridge, adjacent to an open aircraft door, which only allows access for persons that are trained in accordance with point 11.2.3.7. Such persons must ensure that unauthorised access is prevented, during their use of the door.

3.2.1.2 Point 3.2.1.1 shall not apply to an aircraft parked in a hangar that is locked or otherwise protected from unauthorised access. U.K.

3.2.2 Additional protection of aircraft with closed external doors in a part other than a critical part U.K.

3.2.2.1 Where external doors are closed and the aircraft is in a part other than a critical part, each external door shall also: U.K.

(a)

have access aids removed; or

(b)

be sealed; or

(c)

be locked; or

(d)

be monitored.

Point (a) shall not apply for a door that is accessible from the ground by a person.

3.2.2.2 Where access aids are removed for doors that are not accessible by a person from the ground, they shall be placed sufficiently far from the aircraft as to reasonably prevent access. U.K.

3.2.2.3 Where external doors are locked, only persons with an operational need shall be able to unlock these doors. U.K.

3.2.2.4 Where external doors are monitored, the monitoring shall ensure that unauthorised access to the aircraft is immediately detected. U.K.

3.2.2.5 The protection of aircraft with closed external doors in a part other than a critical part shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

ATTACHMENT 3-A U.K.

AIRCRAFT SECURITY SEARCH U.K.

Detailed provisions for an aircraft security search are laid down in Commission Implementing Decision C(2015) 8005.

[F4 ATTACHMENT 3-B U.K.

AIRCRAFT SECURITY U.K.

THIRD COUNTRIES, AS WELL AS OTHER COUNTRIES AND TERRITORIES TO WHICH, IN ACCORDANCE WITH ARTICLE 355 OF THE TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION, TITLE VI OF PART THREE OF THAT TREATY DOES NOT APPLY, THAT ARE RECOGNISED AS APPLYING SECURITY STANDARDS EQUIVALENT TO THE COMMON BASIC STANDARDS ON CIVIL AVIATION SECURITY U.K.

As regards aircraft security, the following third countries, as well as other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, Title VI of Part Three of that Treaty does not apply, have been recognised as applying security standards equivalent to the common basic standards on civil aviation security:

• Canada

• Faroe Islands, in regard to Vagar airport

• Greenland, in regard to Kangerlussuaq airport

• Guernsey

• Isle of Man

• Jersey

• Montenegro

• Republic of Singapore, in regard to Singapore Changi Airport

• United States of America

The Commission shall immediately notify the appropriate authorities of the Member States if it has information indicating that security standards applied by the third country or other country or territory concerned with a significant impact on overall levels of aviation security in the Union are no longer equivalent to the common basic standards of the Union.

The appropriate authorities of the Member States shall be notified without delay when the Commission has information about actions, including compensatory measures, confirming that the equivalency of relevant security standards applied by the third country or other country or territory concerned is re-established.]

Textual Amendments

F4 Substituted by Commission Implementing Regulation (EU) 2018/55 of 9 January 2018 amending Implementing Regulation (EU) 2015/1998 as regards adding the Republic of Singapore to the third countries recognised as applying security standards equivalent to the common basic standards on civil aviation security (Text with EEA relevance).

4. PASSENGERS AND CABIN BAGGAGE U.K.

4.0 GENERAL PROVISIONS U.K.

4.0.1 Unless otherwise stated, the authority, airport operator, air carrier or entity responsible in accordance with the national civil aviation security programme as referred to in Article 10 of Regulation (EC) No 300/2008 shall ensure the implementation of the measures set out in this Chapter. U.K.

4.0.2 Third countries where the security standards applied are recognised as equivalent to the common basic standards as regards passengers and cabin baggage are listed in Attachment 4-B. U.K.

4.0.3 Passengers and their cabin baggage arriving from a Member State where the aircraft was in transit after having arrived from a third country not listed in Attachment 4-B shall be considered as passengers and cabin baggage arriving from a third country, unless there is a confirmation that these passengers and their cabin baggage were screened in that Member State. U.K.

4.0.4 For the purpose of this Annex: U.K.

(a)

‘liquids, aerosols and gels’ (LAGs) shall include pastes, lotions, liquid/solid mixtures and the contents of pressurised containers, such as toothpaste, hair gel, drinks, soups, syrups, perfume, shaving foam and other items with similar consistencies;

(b)

‘security tamper-evident bag’ (STEB) is a bag that conforms to the recommended security control guidelines of the International Civil Aviation Organisation;

(c)

‘liquid explosive detection systems (LEDS) equipment’ is a piece of equipment capable of detecting threat materials that meets the provisions of point 12.7 of the Annex to Commission Implementing Decision C(2015) 8005.

4.0.5 References to third countries in this Chapter and where applicable in Commission Implementing Decision C(2015) 8005 include other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, Title VI of Part Three of that Treaty does not apply. U.K.

4.1 SCREENING OF PASSENGERS AND CABIN BAGGAGE U.K.

4.1.1 Screening of passengers U.K.

4.1.1.1 Before screening, coats and jackets shall be taken off and shall be screened as cabin baggage. The screener may request the passenger to undertake further divesting as appropriate. U.K.

4.1.1.2 Passengers shall be screened by at least one of the following methods: U.K.

(a)

hand search;

(b)

walk-through metal detection equipment (WTMD);

(c)

explosive detection dogs;

(d)

explosive trace detection (ETD) equipment;

(e)

security scanners which do not use ionising radiation;

(f)

ETD equipment combined with hand held metal detection (HHMD) equipment.

Where the screener cannot determine whether or not the passenger is carrying prohibited articles, the passenger shall be denied access to security restricted areas or rescreened to the screener's satisfaction.

4.1.1.3 When a hand search is performed it shall be carried out so as to reasonably ensure that the person is not carrying prohibited articles. U.K.

4.1.1.4 When WTMD equipment alarms, the cause of the alarm shall be resolved. U.K.

4.1.1.5 Hand-held metal detection (HHMD) equipment may only be used as a supplementary means of screening. It shall not replace the requirements of a hand search. U.K.

4.1.1.6 Where a live animal is permitted to be carried in the cabin of an aircraft, it shall be screened either as a passenger or as cabin baggage. U.K.

4.1.1.7 The appropriate authority may create categories of passengers that, for objective reasons, shall be subject to special screening procedures or may be exempted from screening. The Commission shall be informed of the categories created. U.K.

4.1.1.8 The screening of passengers shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

4.1.1.9 Explosive detection dogs and ETD equipment may only be used as a supplementary means of screening. U.K.

4.1.1.10 When a security scanner with a human reviewer, as defined under the second paragraph of point 12.11.1, is used for screening of passengers, all of the following minimum conditions shall be complied with: U.K.

(a)

security scanners shall not store, retain, copy, print or retrieve images. However, any image generated during the screening can be kept for the time needed for the human reviewer to analyse it and shall be deleted as soon as the passenger is cleared. Any unauthorised access and use of the image is prohibited and shall be prevented;

(b)

the human reviewer analysing the image shall be in a separate location so that he/she cannot see the screened passenger;

(c)

any technical devices capable of storing, copying or photographing or otherwise recording images shall not be allowed into the separate location where the image is analysed;

(d)

the image shall not be linked to any data concerning the screened person and his/her identity shall be kept anonymous;

(e)

a passenger may request that the image of his/her body is analysed by a human reviewer of the gender of his/her choice;

(f)

the image shall be blurred or obscured to prevent the identification of the face of the passenger.

Paragraphs (a) and (d) shall also apply to security scanners with automatic threat detection.

Passengers shall be entitled to opt out from a security scanner. In this case the passenger shall be screened by an alternative screening method including at least a hand search in accordance with Attachment 4-A of Commission Implementing Decision C(2015) 8005. When the security scanner alarms, the cause of the alarm shall be resolved.

Before being screened by a security scanner, the passenger shall be informed of the technology used, the conditions associated to its use and the possibility to opt out from a security scanner.

4.1.1.11 Explosive trace detection (ETD) equipment in combination with hand held metal detection (HHMD) equipment may only be used in cases where the screener considers a hand search of a given part of the person to be inefficient and/or undesirable. U.K.

4.1.2 Screening of cabin baggage U.K.

4.1.2.1 Before screening, portable computers and other large electrical items shall be removed from cabin baggage and shall be screened separately, unless the cabin baggage is to be screened with Explosive Detection Systems (EDS) equipment meeting standard C2 or higher. U.K.

4.1.2.2 The appropriate entity at all airports shall screen, upon entry to the security restricted area (SRA), at least LAGs obtained at an airport or on board an aircraft that are sealed in a STEB inside which is displayed satisfactory proof of purchase at airside at an airport or on board an aircraft, as well as LAGs to be used during the trip for medical purposes or a special dietary requirement, including baby food. U.K.

Before screening, LAGs shall be removed from cabin baggage and shall be screened separately from other items of cabin baggage, unless the equipment used for the screening of cabin baggage is also capable of screening multiple closed LAGs containers inside baggage.

Where LAGs have been removed from cabin baggage, the passenger shall present:

(a)

all LAGs in individual containers with a capacity not greater than 100 millilitres or equivalent in one transparent resealable plastic bag of a capacity not exceeding 1 litre, whereby the contents of the plastic bag fit comfortably and the bag is completely closed; and

(b)

all other LAGs, including STEBs containing LAGs.

Appropriate authorities, airlines and airports shall provide appropriate information to passengers in respect of the screening of LAGs at their airports.

4.1.2.3 Cabin baggage shall be screened by at least one of the following methods: U.K.

(a)

a hand search;

(b)

x-ray equipment;

(c)

explosive detection systems (EDS) equipment;

(d)

explosive detection dogs in combination with point (a);

(e)

ETD equipment.

Where the screener cannot determine whether or not the cabin baggage contains any prohibited articles, it shall be rejected or rescreened to the screener's satisfaction.

4.1.2.4 A hand search of cabin baggage shall consist of a manual check of the baggage, including its contents, as to reasonably ensure that it does not contain prohibited articles. U.K.

4.1.2.5 Where x-ray or EDS equipment is used, each image shall be viewed by the screener or analysed by auto clear software (ACS). U.K.

4.1.2.6 Where x-ray or EDS equipment is used, all alarms shall be resolved to the satisfaction of the screener so as to reasonably ensure that no prohibited articles are carried into the SRA or on board an aircraft. U.K.

4.1.2.7 Where x-ray or EDS equipment is used, any item whose density impairs the ability of the screener to analyse the contents of the cabin baggage shall be taken out of the baggage. The bag shall be screened again and the item shall be screened separately as cabin baggage. U.K.

4.1.2.8 Any bag that is found to contain a large electrical item shall be screened again with the item no longer in the bag and the electrical item screened separately, unless the cabin baggage was screened with EDS equipment meeting standard C2 or higher. U.K.

4.1.2.9 Explosive detection dogs and explosive trace detection (ETD) equipment may only be used as a supplementary means of screening. U.K.

4.1.2.10 The appropriate authority may create categories of cabin baggage that, for objective reasons, shall be subject to special screening procedures or may be exempted from screening. The Commission shall be informed of the categories created. U.K.

4.1.2.11 Persons screening cabin baggage by x-ray or EDS equipment shall normally not spend more than 20 minutes continuously reviewing images. After each of these periods, the screener shall not review images for at least 10 minutes. This requirement shall only apply when there is an uninterrupted flow of images to be reviewed. U.K.

There shall be a supervisor responsible for screeners of cabin baggage in order to assure optimum team composition, quality of work, training, support and appraisal.

4.1.2.12 The screening of cabin baggage shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

4.1.3 Screening of liquids, aerosols and gels (LAGs) U.K.

[F1 4.1.3.1 LAGs carried by passengers may be exempted from screening with LEDS equipment upon entry to the SRA in the following cases: U.K.

(a)

if the LAGs are in individual containers with a capacity not greater than 100 millilitres or equivalent in one transparent resealable plastic bag of a capacity not exceeding 1 litre, whereby the contents of the plastic bag fit comfortably and the bag is completely closed;

(b)

if the LAG is sealed in a dedicated STEB upon purchase locally at the airport airside.]

[F1 4.1.3.2 The dedicated STEBs referred to under point (b) of point 4.1.3.1 shall: U.K.

(a)

be clearly identifiable as a STEB of that airport; and

(b)

display inside proof of purchase at that airport within the preceding period of three hours; and

(c)

be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005.]

[F1 4.1.3.3 The appropriate authority may create categories of LAGs that, for objective reasons, shall be subjected to special screening procedures or may be exempted from screening. The Commission shall be informed of the categories created.] U.K.

[F3 4.1.3.4 The screening of LAGs shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005.] U.K.

4.2 PROTECTION OF PASSENGERS AND CABIN BAGGAGE U.K.

The protection of passengers and cabin baggage shall be subject to the provisions laid down in Commission Implementing Decision C(2015) 8005.

4.3 POTENTIALLY DISRUPTIVE PASSENGERS U.K.

4.3.1 An air carrier shall be notified in writing in advance by the competent authority of the plan to embark a potentially disruptive passenger on board its aircraft. U.K.

4.3.2 The notification shall contain the following details: U.K.

(a)

identity and gender of the person; and

(b)

reason for transportation; and

(c)

name and title of escorts, if provided; and

(d)

risk assessment by the competent authority, including reasons to escort or not; and

(e)

prior seating arrangement, if required; and

(f)

the nature of the available travel documents.

The air carrier shall make this information available to the pilot in command prior to passengers boarding the aircraft.

4.3.3 The competent authority shall ensure that persons in lawful custody are always escorted. U.K.

4.4 PROHIBITED ARTICLES U.K.

4.4.1 Passengers shall not be permitted to carry into security restricted areas or on board an aircraft the articles listed in Attachment 4-C. U.K.

4.4.2 An exemption to point 4.4.1 may be granted on condition that: U.K.

(a)

the appropriate authority has given consent that the article may be carried; and

(b)

the air carrier has been informed about the passenger and the article that the passenger is carrying prior to passengers boarding the aircraft; and

(c)

the applicable safety rules are complied with.

These articles shall then be placed in secure conditions on board aircraft.

4.4.3 The air carrier shall ensure that passengers are informed of the prohibited articles listed in Attachment 4-C before check-in is completed. U.K.

ATTACHMENT 4-A U.K.

REQUIREMENTS FOR A HAND SEARCH U.K.

Detailed provisions for a hand search are laid down in Commission Implementing Decision C(2015) 8005.

[F4 ATTACHMENT 4-B U.K.

PASSENGERS AND CABIN BAGGAGE U.K.

THIRD COUNTRIES, AS WELL AS OTHER COUNTRIES AND TERRITORIES TO WHICH, IN ACCORDANCE WITH ARTICLE 355 OF THE TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION, TITLE VI OF PART THREE OF THAT TREATY DOES NOT APPLY, THAT ARE RECOGNISED AS APPLYING SECURITY STANDARDS EQUIVALENT TO THE COMMON BASIC STANDARDS ON CIVIL AVIATION SECURITY U.K.

As regards passengers and cabin baggage, the following third countries, as well as other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, Title VI of Part Three of that Treaty does not apply, have been recognised as applying security standards equivalent to the common basic standards on civil aviation security:

• Canada

• Faroe Islands, in regard to Vagar airport

• Greenland, in regard to Kangerlussuaq airport

• Guernsey

• Isle of Man

• Jersey

• Montenegro

• Republic of Singapore, in regard to Singapore Changi Airport

• United States of America

The Commission shall notify without delay the appropriate authorities of the Member States if it has information indicating that security standards applied by the third country or other country or territory concerned with a significant impact on overall levels of aviation security in the Union are no longer equivalent to the common basic standards of the Union.

The appropriate authorities of the Member States shall be notified without delay when the Commission has information about actions, including compensatory measures, confirming that the equivalency of relevant security standards applied by the third country or other country or territory concerned is re-established.]

ATTACHMENT 4-C U.K.

PASSENGERS AND CABIN BAGGAGE U.K.

LIST OF PROHIBITED ARTICLES U.K.

Without prejudice to applicable safety rules, passengers are not permitted to carry the following articles into security restricted areas and on board an aircraft:

(a) guns, firearms and other devices that discharge projectiles

—

devices capable, or appearing capable, of being used to cause serious injury by discharging a projectile, including:

• firearms of all types, such as pistols, revolvers, rifles, shotguns,

• toy guns, replicas and imitation firearms capable of being mistaken for real weapons,

• component parts of firearms, excluding telescopic sights,

• compressed air and CO₂ guns, such as pistols, pellet guns, rifles and ball bearing guns,

• signal flare pistols and starter pistols,

• bows, cross bows and arrows,

• harpoon guns and spear guns,

• slingshots and catapults;

(b) stunning devices

—

devices designed specifically to stun or immobilise, including:

• devices for shocking, such as stun guns, tasers and stun batons,

• animal stunners and animal killers,

• disabling and incapacitating chemicals, gases and sprays, such as mace, pepper sprays, capsicum sprays, tear gas, acid sprays and animal repellent sprays;

(c) objects with a sharp point or sharp edge

—

objects with a sharp point or sharp edge capable of being used to cause serious injury, including:

• items designed for chopping, such as axes, hatchets and cleavers,

• ice axes and ice picks,

• razor blades,

• box cutters,

• knives with blades of more than 6 cm,

• scissors with blades of more than 6 cm as measured from the fulcrum,

• martial arts equipment with a sharp point or sharp edge,

• swords and sabres;

(d) workmen's tools

—

tools capable of being used either to cause serious injury or to threaten the safety of aircraft, including:

• crowbars,

• drills and drill bits, including cordless portable power drills,

• tools with a blade or a shaft of more than 6 cm capable of use as a weapon, such as screwdrivers and chisels,

• saws, including cordless portable power saws,

• blowtorches,

• bolt guns and nail guns;

(e) blunt instruments

—

objects capable of being used to cause serious injury when used to hit, including:

• baseball and softball bats,

• clubs and batons, such as billy clubs, blackjacks and night sticks,

• martial arts equipment;

(f) explosives and incendiary substances and devices

—

explosives and incendiary substances and devices capable, or appearing capable, of being used to cause serious injury or to pose a threat to the safety of aircraft, including:

• ammunition,

• blasting caps,

• detonators and fuses,

• replica or imitation explosive devices,

• mines, grenades and other explosive military stores,

• fireworks and other pyrotechnics,

• smoke-generating canisters and smoke-generating cartridges,

• dynamite, gunpowder and plastic explosives.

5. HOLD BAGGAGE U.K.

5.0 GENERAL PROVISIONS U.K.

5.0.1 Unless otherwise stated, the authority, airport operator, air carrier or entity responsible in accordance with the national civil aviation security programme as referred to in Article 10 of Regulation (EC) No 300/2008 shall ensure the implementation of the measures set out in this Chapter. U.K.

5.0.2 Third countries where the security standards applied are recognised as equivalent to the common basic standards as regards hold baggage are listed in Attachment 5-A. U.K.

5.0.3 Hold baggage arriving from a Member State where the aircraft was in transit after having arrived from a third country not listed in Attachment 5-A shall be considered as hold baggage arriving from a third country, unless there is a confirmation that the hold baggage was screened in that Member State. U.K.

5.0.4 For the purpose of this Chapter, ‘secured baggage’ means screened departing hold baggage that is physically protected so as to prevent the introduction of any objects. U.K.

5.0.5 References to third countries in this Chapter and where applicable in Commission Implementing Decision C(2015) 8005 include other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, Title VI of Part Three of that Treaty does not apply. U.K.

5.1 SCREENING OF HOLD BAGGAGE U.K.

5.1.1 The following methods, either individually or in combination, shall be used to screen hold baggage: U.K.

(a)

a hand search; or

(b)

x-ray equipment; or

(c)

explosive detection systems (EDS) equipment; or

(d)

explosive trace detection (ETD) equipment; or

(e)

explosive detection dogs.

Where the screener cannot determine whether or not the hold baggage contains any prohibited articles, it shall be rejected or rescreened to the screener's satisfaction.

5.1.2 A hand search shall consist of a thorough manual check of the baggage, including all its contents, so as to reasonably ensure that it does not contain prohibited articles. U.K.

5.1.3 Where x-ray or EDS equipment is used, any item whose density impairs the ability of the screener to analyse the contents of the baggage shall result in it being subject to another means of screening. U.K.

5.1.4 Screening by explosive trace detection (ETD) equipment shall consist of the analysis of samples taken from both the inside and the outside of the baggage and from its contents. The contents may also be subjected to a hand search. U.K.

5.1.5 The appropriate authority may create categories of hold baggage that, for objective reasons, shall be subject to special screening procedures or may be exempted from screening. The Commission shall be informed of the categories created. U.K.

5.1.6 The screening of hold baggage shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

5.1.7 Persons screening hold baggage by x-ray or EDS equipment shall normally not spend more than 20 minutes continuously reviewing images. After each of these periods, the screener shall not review images for at least 10 minutes. This requirement shall only apply when there is an uninterrupted flow of images to be reviewed. U.K.

There shall be a supervisor responsible for screeners of hold baggage in order to assure optimum team composition, quality of work, training, support and appraisal.

5.2 PROTECTION OF HOLD BAGGAGE U.K.

5.2.1 Passengers may not be allowed access to screened hold baggage, unless it is their own baggage and they are supervised to ensure that: U.K.

(a)

no prohibited articles as listed in Attachment 5-B are introduced into the hold baggage; or

(b)

no prohibited articles as listed in Attachment 4-C are removed from the hold baggage and introduced into the security restricted areas or on board an aircraft.

5.2.2 Hold baggage that has not been protected from unauthorised interference shall be rescreened. U.K.

5.2.3 The protection of hold baggage shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

5.3 BAGGAGE RECONCILIATION U.K.

5.3.1 Identification of hold baggage U.K.

5.3.1.1 An air carrier shall, during the boarding process, ensure that a passenger presents a valid boarding card or equivalent corresponding to the hold baggage that was checked in. U.K.

5.3.1.2 An air carrier shall ensure that there is a procedure in place to identify hold baggage of passengers who did not board or left the aircraft before departure. U.K.

5.3.1.3 If the passenger is not on board the aircraft, the hold baggage corresponding to his boarding card or equivalent shall be considered as unaccompanied. U.K.

5.3.1.4 An air carrier shall ensure that each item of unaccompanied hold baggage is clearly identifiable as authorised for transport by air. U.K.

5.3.2 Factors beyond the passenger's control U.K.

5.3.2.1 The reason that the baggage became unaccompanied shall be recorded before it is loaded onto an aircraft, unless the security controls as referred to in point 5.3.3 are applied. U.K.

5.3.2.2 Additional detailed provisions on the factors beyond the passenger's control are laid down in Commission Implementing Decision C(2015) 8005. U.K.

5.3.3 Appropriate security controls for unaccompanied hold baggage U.K.

5.3.3.1 Unaccompanied hold baggage not covered by point 5.3.2 shall be screened by one of the methods laid down in point 5.1.1 and, where applicable, applying additional requirements laid down in Commission Implementing Decision C(2015) 8005. U.K.

5.3.3.2 Hold baggage that becomes unaccompanied baggage due to factors other than those referred to in point 5.3.2.2 shall be removed from the aircraft and rescreened before loading it again. U.K.

5.3.3.3 Additional detailed provisions for appropriate security controls for unaccompanied hold baggage are laid down in Commission Implementing Decision C(2015) 8005. U.K.

5.4 PROHIBITED ARTICLES U.K.

5.4.1 Passengers shall not be permitted to carry in their hold baggage the articles listed in Attachment 5-B. U.K.

5.4.2 An exemption to point 5.4.1 may be granted on condition that: U.K.

(a)

the appropriate authority has national rules permitting carriage of the article; and

(b)

the applicable safety rules are complied with.

[F1 5.4.3 The air carrier shall ensure that passengers are informed of the prohibited articles listed in Attachment 5-B at any time before the check-in is completed.] U.K.

[F4 ATTACHMENT 5-A U.K.

HOLD BAGGAGE U.K.

THIRD COUNTRIES, AS WELL AS OTHER COUNTRIES AND TERRITORIES TO WHICH, IN ACCORDANCE WITH ARTICLE 355 OF THE TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION, TITLE VI OF PART THREE OF THAT TREATY DOES NOT APPLY, THAT ARE RECOGNISED AS APPLYING SECURITY STANDARDS EQUIVALENT TO THE COMMON BASIC STANDARDS ON CIVIL AVIATION SECURITY U.K.

As regards hold baggage, the following third countries, as well as other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, Title VI of Part Three of that Treaty does not apply, have been recognised as applying security standards equivalent to the common basic standards on civil aviation security:

• Canada

• Faroe Islands, in regard to Vagar airport

• Greenland, in regard to Kangerlussuaq airport

• Guernsey

• Isle of Man

• Jersey

• Montenegro

• Republic of Singapore, in regard to Singapore Changi Airport

• United States of America

The Commission shall notify without delay the appropriate authorities of the Member States if it has information indicating that security standards applied by the third country or other country or territory concerned with a significant impact on overall levels of aviation security in the Union are no longer equivalent to the common basic standards of the Union.

The appropriate authorities of the Member States shall be notified without delay when the Commission has information about actions, including compensatory measures, confirming that the equivalency of relevant security standards applied by the third country or other country or territory concerned is re-established.]

ATTACHMENT 5-B U.K.

HOLD BAGGAGE U.K.

LIST OF PROHIBITED ARTICLES U.K.

Passengers are not permitted to carry the following articles in their hold baggage:

explosives and incendiary substances and devices

—

explosives and incendiary substances and devices capable of being used to cause serious injury or to pose a threat to the safety of aircraft, including:

• ammunition,

• blasting caps,

• detonators and fuses,

• mines, grenades and other explosive military stores,

• fireworks and other pyrotechnics,

• smoke-generating canisters and smoke-generating cartridges,

• dynamite, gunpowder and plastic explosives.

6. CARGO AND MAIL U.K.

6.0 GENERAL PROVISIONS U.K.

6.0.1 The authority, airport operator, air carrier or entity as defined in this Chapter shall ensure the implementation of the measures set out in this Chapter. U.K.

6.0.2 Assembled explosive and incendiary devices that are not carried in accordance with the applicable safety rules shall be considered as prohibited articles in consignments of cargo and mail. U.K.

6.0.3 References to third countries in this Chapter and where applicable in Commission Implementing Decision C(2015) 8005 include other countries and territories to which, in accordance with Article 355 of the Treaty on the Functioning of the European Union, Title VI of Part Three of that Treaty does not apply. U.K.

6.1 SECURITY CONTROLS — GENERAL PROVISIONS U.K.

6.1.1 All cargo and mail shall be screened by a regulated agent before being loaded on to an aircraft, unless: U.K.

(a)

the required security controls have been applied to the consignment by a regulated agent and the consignment has been protected from unauthorised interference from the time that those security controls were applied and until loading; or

(b)

the required security controls have been applied to the consignment by a known consignor and the consignment has been protected from unauthorised interference from the time that those security controls were applied and until loading; or

(c)

the required security controls have been applied to the consignment by an account consignor, the consignment has been protected from unauthorised interference from the time that those security controls were applied and until loading, and it is not carried on a passenger aircraft; or

(d)

the consignment is exempt from screening and has been protected from unauthorised interference from the time that it became identifiable air cargo or identifiable air mail and until loading.

6.1.2 Where there is any reason to believe that a consignment to which security controls have been applied has been tampered with or has not been protected from unauthorised interference from the time that those controls were applied, it shall be screened by a regulated agent before being loaded on to an aircraft. Consignments which appear to have been significantly tampered with or which are otherwise suspect shall be treated as high risk cargo or mail (HRCM) in accordance with point 6.7. U.K.

6.1.3 A person with unescorted access to identifiable air cargo or identifiable air mail to which the required security controls have been applied shall have successfully completed either a background check or a pre-employment check in accordance with point 11.1. U.K.

6.2 SCREENING U.K.

6.2.1 Screening U.K.

6.2.1.1 When screening cargo or mail: U.K.

(a)

the means or method most likely to detect prohibited articles shall be employed, taking into consideration the nature of the consignment; and

(b)

the means or method employed shall be of a standard sufficient to reasonably ensure that no prohibited articles are concealed in the consignment.

6.2.1.2 Where the screener cannot be reasonably sure that no prohibited articles are contained in the consignment, the consignment shall be rejected or be rescreened to the screener's satisfaction. U.K.

6.2.1.3 The screening of cargo and mail shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005. U.K.

6.2.1.4 Persons screening cargo by x-ray or EDS equipment shall normally not spend more than 20 minutes continuously reviewing images. After each of these periods, the screener shall not review images for at least 10 minutes. This requirement shall only apply when there is an uninterrupted flow of images to be reviewed. U.K.

6.2.1.5 Cargo and mail shall be screened by at least one of the following methods in accordance with Attachment 6-J: U.K.

(a)

hand search;

(b)

x-ray equipment;

(c)

EDS equipment;

(d)

explosive detection dogs (EDD);

(e)

ETD equipment;

(f)

visual check;

(g)

metal detection equipment (MDE).

[ F2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

6.2.1.6 If agreed by the appropriate authority and notified to the Commission, other appropriate security controls may be applied only where it is not possible to apply any of the other means or methods specified in point 6.2.1.5 owing to the nature of the consignment. U.K.

6.2.2 Exemptions from screening U.K.

Provisions for exemptions from screening are laid down in Commission Implementing Decision C(2015) 8005.

6.3 REGULATED AGENTS U.K.

6.3.1 Approval of regulated agents U.K.

6.3.1.1 Regulated agents shall be approved by the appropriate authority. U.K.

The approval as a regulated agent shall be site specific.

Any entity that applies security controls as referred to in point 6.3.2 shall be approved as a regulated agent. This includes third party logistics providers responsible for integrated warehousing and transportation services, air carriers and handling agents.

A regulated agent may subcontract one or more of the following:

(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;

(d)

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

6.3.1.2 The following procedure shall apply for the approval of regulated agents: U.K.

(a)

the applicant shall seek approval from the appropriate authority of the Member State in which the sites included in the application are located.

The applicant shall submit a security programme to the appropriate authority concerned. The programme shall describe the methods and procedures which are to be followed by the agent in order to comply with the requirements of Regulation (EC) No 300/2008 and its implementing acts. The programme shall also describe how compliance with these methods and procedures is to be monitored by the agent itself. An air carrier security programme which describes the methods and procedures to be followed by the air carrier in order to comply with the requirements of Regulation (EC) No 300/2008 and its implementing acts shall be regarded as meeting the requirement for a regulated agent security programme.

The applicant shall also submit the ‘Declaration of commitments — regulated agent’ as contained in Attachment 6-A. This declaration shall be signed by the applicant's legal representative or by the person responsible for security.

The signed declaration shall be retained by the appropriate authority concerned;

(b)

the appropriate authority or an EU aviation security validator acting on its behalf shall examine the security programme and then make an on-site verification of the sites specified in order to assess whether the applicant complies with the requirements of Regulation (EC) No 300/2008 and its implementing acts.

Except for the requirements laid down in point 6.2, an examination of the site of the applicant by the relevant customs authority in accordance with Article 14n of Commission Regulation (EEC) No 2454/93(3) shall be considered as an on-site verification if it took place not earlier than 3 years before the date on which the applicant seeks approval as a regulated agent. The AEO certificate and the relevant assessment of the customs authorities shall be made available by the applicant for further inspection.

(c)

if the appropriate authority is satisfied with the information provided under points (a) and (b), it shall ensure that the necessary details of the agent are entered into the ‘Union database on supply chain security’ not later than the next working day. When making the database entry the appropriate authority shall give each approved site a unique alphanumeric identifier in the standard format.

If the appropriate authority is not satisfied with the information provided under points (a) and (b) then the reasons shall promptly be notified to the entity seeking approval as a regulated agent;

(d)

a regulated agent shall not be considered as approved until its details are listed in the ‘Union database on supply chain security’.

6.3.1.3 A regulated agent shall designate at least one person at each site who shall be responsible for the implementation of the submitted security programme. This person shall have successfully completed a background check in accordance with point 11.1. U.K.

6.3.1.4 A regulated agent shall be re-validated at regular intervals not exceeding 5 years. This shall include an on-site verification in order to assess whether the regulated agent still complies with the requirements of Regulation (EC) No 300/2008 and its implementing acts. U.K.

An inspection at the premises of the regulated agent by the appropriate authority in accordance with its national quality control programme may be considered as an on-site verification, provided that it covers all the requirements necessary for approval.

Except for the requirements laid down in point 6.2, an examination of the site of the regulated agent by the relevant customs authority according to Article 14n of Regulation (EEC) No 2454/93 shall be considered as an on-site verification.

6.3.1.5 If the appropriate authority is no longer satisfied that the regulated agent complies with the requirements of Regulation (EC) No 300/2008 and its implementing acts, it shall withdraw the status of regulated agent for the specified site(s). U.K.

If the entity is no longer a holder of an AEO certificate referred to in point (b) or (c) of Article 14a(1) of Regulation (EEC) No 2454/93 or if this AEO certificate is suspended due to non-compliance with Article 14k of that Regulation, the appropriate authority shall undertake appropriate action to satisfy itself that the regulated agent complies with the requirements of Regulation (EC) No 300/2008.

The entity shall inform the appropriate authority of any changes related to its AEO certificate referred to in point (b) or (c) of Article 14a(1) of Regulation (EEC) No 2454/93.

Immediately after withdrawal, and in all cases within 24 hours, the appropriate authority shall ensure that the former regulated agent's change of status is indicated in the ‘Union database on supply chain security’.

6.3.1.6 Without prejudice to the right of each Member State to apply more stringent measures in accordance with Article 6 of Regulation (EC) No 300/2008, a regulated agent approved in accordance with point 6.3 of this Annex shall be recognised in all Member States. U.K.

6.3.1.7 The requirements of point 6.3.1, other than 6.3.1.2(d), shall not apply when the appropriate authority itself is to be approved as a regulated agent. U.K.

6.3.1.8 The appropriate authority shall make available to the customs authority any information related to the status of a regulated agent which could be relevant in respect of holding an AEO certificate as referred to in points (b) or (c) of Article 14a(1) of Regulation (EEC) No 2454/93. This shall include the information related to new approvals of regulated agents, withdrawal of the regulated agent status, revalidation and inspections, verification schedules and outcomes of these assessments. U.K.

Modalities for this exchange of information shall be established between the appropriate authority and the national customs authorities.

6.3.2 Security controls to be applied by a regulated agent U.K.

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

[F1 6.3.2.2 The regulated agent or air carrier shall ask the person delivering any consignments to present an identity card, passport, driving licence or other document, which includes his or her photograph and which has been issued or is recognised by the national authority. The card or document shall be used to establish the identity of the person delivering the consignments.] U.K.

6.3.2.3 The regulated agent shall ensure that consignments to which not all required security controls have previously been applied are: U.K.

(a)

screened in accordance with point 6.2; or

(b)

accepted for storage under the regulated agent's exclusive responsibility, not identifiable as shipment for carriage on an aircraft before selection, and selected autonomously without any intervention of the consignor or any person or entity other than those appointed and trained by the regulated agent for that purpose.

Point (b) may only be applied if it is unpredictable for the consignor that the consignment is to be transported by air.

[F1 6.3.2.4 After the security controls referred to in points from 6.3.2.1 to 6.3.2.3 of this Annex and point 6.3 of the Annex to Commission Implementing Decision C(2015) 8005 have been applied, the regulated agent shall ensure the protection of cargo and mail in accordance with point 6.6.] U.K.

6.3.2.5 After the security controls referred to in points 6.3.2.1 to 6.3.2.4 have been applied, the regulated agent shall ensure that any consignment tendered to an air carrier or another regulated agent is accompanied by appropriate documentation, either in the form of an air waybill or in a separate declaration and either in an electronic format or in writing. U.K.

6.3.2.6 The documentation referred to in point 6.3.2.5 shall be available for inspection by the appropriate authority at any point before the consignment is loaded on to an aircraft and afterwards for the duration of the flight or for 24 hours, whichever is the longer and shall provide all of the following information: U.K.

(a)

the unique alphanumeric identifier of the regulated agent 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, except for consignments listed in points 6.2.1(d) and (e) of Commission Implementing Decision C(2015) 8005;

(d)

the security status of the consignment, stating:

• ‘SPX’, meaning secure for passenger, all-cargo and all-mail aircraft, or

• ‘SCO’, meaning secure for all-cargo and all-mail aircraft only, or

• ‘SHR’, meaning secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements;

(e)

[F1 the reason why the security status was issued, stating:

(i)

‘ KC ’ , meaning received from known consignor; or

(ii)

‘ AC ’ , meaning received from account consignor; or

(iii)

‘ RA ’ , meaning selected by a regulated agent; or

(iv)

the means or method of screening used, as follows:

• hand search (PHS);

• X-ray equipment (XRY);

• EDS equipment (EDS);

• explosive detection dogs (EDD)

• ETD equipment (ETD);

• visual check (VCK);

• metal detection equipment (CMD);

• any other method (AOM) in accordance with point 6.2.1.6 where the method used shall be specified; or

(v)

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 unique identifier received from the appropriate authority, of any regulated agent who has accepted the security status given to a consignment by another regulated agent.

A regulated agent tendering consignments to another regulated agent or air carrier may also decide to only transmit the information required under points (a) to (e) and (g) and to retain the information required under point (f) for the duration of the flight(s) or for 24 hours, whichever is the longer.

6.3.2.7 In the case of consolidations, the requirements of points 6.3.2.5 and 6.3.2.6 shall be considered as met if: U.K.

(a)

the regulated agent performing the consolidation retains the information required under points 6.3.2.6(a) to (g) for each individual consignment for the duration of the flight(s) or for 24 hours, whichever is the longer; and

(b)

the documentation accompanying the consolidation includes the alphanumeric identifier of the regulated agent who performed the consolidation, a unique identifier of the consolidation and its security status.

Point (a) shall not be required for consolidations that are always subject to screening or exempted from screening in line with points 6.2.1(d) and (e) of Commission Implementing Decision C(2015) 8005 if the regulated agent gives the consolidation a unique identifier and indicates the security status and a single reason why this security status was issued.

6.3.2.8 When accepting consignments to which not all required security 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 consignments over to another regulated agent to ensure the application of these security controls. U.K.

6.3.2.9 A regulated agent shall ensure that all staff implementing security controls are recruited and trained in accordance with the requirements of Chapter 11 and all staff with access to identifiable air cargo or identifiable air mail to which the required security controls have been applied have been recruited and subject to security awareness training in accordance with the requirements of Chapter 11. U.K.

Security controls to be applied by a regulated agent shall also be subject to the additional provisions laid down in Commission Implementing Decision C(2015) 8005.

6.4 KNOWN CONSIGNORS U.K.

6.4.1 Approval of known consignors U.K.

6.4.1.1 Known consignors shall be approved by the appropriate authority. U.K.

The approval as a known consignor shall be site specific.

6.4.1.2 The following procedure shall apply for the approval of known consignors: U.K.

(a)

[F1 the applicant shall seek approval from the appropriate authority of the Member State in which its site is located.

The applicant shall submit a security programme to the appropriate authority concerned. The programme shall describe the methods and procedures which are to be followed by the consignor in order to comply with the requirements of Regulation (EC) No 300/2008 and its implementing acts. The programme shall also describe how compliance with these methods and procedures is to be monitored by the consignor itself.

The applicant shall be provided with the ‘ Guidance for known consignors ’ as contained in Attachment 6-B and the ‘ Validation checklist for known consignors ’ as contained in Attachment 6-C;

(b)

the appropriate authority, or EU aviation security validator acting on its behalf, shall examine the security programme and then make an on-site verification of the sites specified in order to assess whether the applicant complies with the requirements of Regulation (EC) No 300/2008 and its implementing acts.

In order to assess whether the applicant complies with these requirements, the appropriate authority, or EU aviation security validator acting on its behalf, shall make use of the ‘ Validation checklist for known consignors ’ as contained in Attachment 6-C. This checklist includes a declaration of commitments which shall be signed by the applicant's legal representative or by the person responsible for security at the site.

Once the validation checklist is completed, the information contained in the checklist shall be handled as classified information.

The signed declaration shall be retained by the appropriate authority concerned or retained by the EU aviation security validator and made available to the appropriate authority concerned;]

(c)

an examination of the site of the applicant by the relevant customs authority in accordance with Article 14n of Regulation (EEC) No 2454/93 shall be considered as an on-site verification if it took place not earlier than 3 years before the date on which the applicant seeks approval as a known consignor. In those cases, the applicant shall complete the information required in Part One of the ‘Validation checklist for known consignors’ as contained in Attachment 6-C and send it to the appropriate authority jointly with the declaration of commitments which shall be signed by the applicant's legal representative or by the person responsible for security at the site.

The AEO certificate and the relevant assessment of the customs authorities shall be made available by the applicant for further inspection.

The signed declaration shall be retained by the appropriate authority concerned or retained by the EU aviation security validator and made available on request to the appropriate authority concerned;

(d)

if the appropriate authority is satisfied with the information provided under points (a) and (b) or (a) and (c), as applicable, it shall ensure that the necessary details of the consignor are entered into the ‘Union database on supply chain security’ not later than the next working day. When making the database entry the appropriate authority shall give each approved site a unique alphanumeric identifier in the standard format.

If the appropriate authority is not satisfied with the information provided under points (a) and (b) or (a) and (c), as applicable, then the reasons shall promptly be notified to the entity seeking approval as a known consignor;

(e)

a known consignor shall not be considered as approved until its details are listed in the ‘Union database on supply chain security’.

6.4.1.3 A known consignor shall designate at least one person at each site who shall be responsible for the application and supervision of the implementation of security controls at that site. This person shall have successfully completed a background check in accordance with point 11.1. U.K.

6.4.1.4 A known consignor shall be re-validated at regular intervals not exceeding 5 years. This shall include an on-site verification in order to assess whether the known consignor still complies with the requirements of Regulation (EC) No 300/2008 and its implementing acts. U.K.

An inspection at the premises of the known consignor by the appropriate authority in accordance with its national quality control programme may be considered as an on-site verification, provided that it covers all areas specified in the checklist of Attachment 6-C.

An examination of the site of the known consignor by the relevant customs authority in accordance with Article 14n of Regulation (EEC) No 2454/93 shall be considered as an on-site verification.

6.4.1.5 If the appropriate authority is no longer satisfied that the known consignor complies with the requirements of Regulation (EC) No 300/2008 and its implementing acts, it shall withdraw the status of known consignor for the specified site(s). U.K.

If the entity is no longer a holder of an AEO certificate referred to in point (b) or (c) of Article 14a(1) of Regulation (EEC) No 2454/93 or if this AEO certificate is suspended due to non-compliance with Article 14k of that Regulation, the appropriate authority shall undertake appropriate action to satisfy itself that the known consignor complies with the requirements of Regulation (EC) No 300/2008.

The entity shall inform the appropriate authority of any changes related to its AEO certificate referred to in point (b) or (c) of Article 14a(1) of Regulation (EEC) No 2454/93.

Immediately after withdrawal, and in all cases within 24 hours, the appropriate authority shall ensure that the consignor's change of status is indicated in the ‘Union database on supply chain security’.

6.4.1.6 Without prejudice to the right of each Member State to apply more stringent measures in accordance with Article 6 of Regulation (EC) No 300/2008, a known consignor approved in accordance with point 6.4 of this Annex shall be recognised in all Member States. U.K.

[ F2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

6.4.1.7 The appropriate authority shall make available to the customs authority any information related to the status of a known consignor which could be relevant in respect of holding an AEO certificate as referred to in point (b) or (c) of Article 14a(1) of Regulation (EEC) No 2454/93. This includes information related new approvals of known consignors, withdrawal of the known consignor status, revalidation and inspections, verification schedules and outcomes of these assessments. U.K.

Modalities for this exchange of information shall be established between the appropriate authority and the national customs authorities.

6.4.2 Security controls to be applied by a known consignor U.K.

6.4.2.1 A known consignor shall ensure that: U.K.

(a)

there is a level of security on the site or at the premises sufficient to protect identifiable air cargo and identifiable air mail from unauthorised interference; and

(b)

all staff implementing security controls are recruited and trained in accordance with the requirements of Chapter 11 and all staff with access to identifiable air cargo or identifiable air mail to which the required security controls have been applied have been recruited and subject to security awareness training in accordance with the requirements of Chapter 11; and

(c)

during production, packing, storage, despatch and/or transportation, as appropriate, identifiable air cargo and identifiable air mail is protected from unauthorised interference or tampering.

When, for whatever reason, these security controls have not been applied to a consignment, or where the consignment has not been originated by the known consignor for its own account, the known consignor shall clearly identify this to the regulated agent so that point 6.3.2.3 can be applied.

6.4.2.2 The known consignor shall accept that consignments to which the appropriate security controls have not been applied are screened in accordance with point 6.2.1. U.K.

6.5 ACCOUNT CONSIGNORS U.K.

[F1 6.5.1 The regulated agent shall maintain a database comprising the following information of any account consigner it has designated before 1 June 2017 : U.K.

• the company details, including the bona fide business address; and

• the nature of the business; and

• contact details, including those of the person(s) responsible for security; and

• VAT reference number or company registration number; and

• signed ‘ Declaration of commitments — account consignor ’ as contained in Attachment 6-D.

Where the account consignor is a holder of an AEO certificate referred to in point (b) or (c) of point (1) of Article 14a of Commission Regulation (EEC) No 2454/93, the AEO certificate number shall be maintained in the database referred to in the first paragraph.

The database shall be available for inspection by the appropriate authority.

6.5.2 If there is no activity relating to movements of cargo or mail by air on the account of the account consignor within a period of 2 years, the status of account consignor shall expire. U.K.

6.5.3 If the appropriate authority or the regulated agent is no longer satisfied that the account consignor complies with the instructions as contained in Attachment 6-D, the regulated agent shall immediately withdraw the status of account consignor. The status of any account consignor designated by a regulated agent will end on 30 June 2021 . U.K.

6.5.4 When, for whatever reason, the security controls specified in the ‘ Aviation security instructions for account consignors ’ have not been applied to a consignment, or where the consignment has not been originated by the account consignor for its own account, the account consignor shall clearly identify this to the regulated agent so that point 6.3.2.3 can be applied.] U.K.

F2 6.5.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

F2 6.5.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

6.6 PROTECTION OF CARGO AND MAIL U.K.

6.6.1 Protection of cargo and mail during transportation U.K.

6.6.1.1 In order to ensure that consignments to which the required security controls have been applied are protected from unauthorised interference during transportation: U.K.

(a)

the consignments shall be packed or sealed by the regulated agent, known consignor or account consignor so as to ensure that any tampering would be evident; where this is not possible alternative protection measures that ensure the integrity of the consignment shall be taken; and

(b)

the cargo load compartment of the vehicle in which the consignments are to be transported shall be locked or sealed or curtain sided vehicles shall be secured with TIR cords so as to ensure that any tampering would be evident, or the load area of flatbed vehicles shall be kept under observation; and

(c)

the haulier declaration as contained in Attachment 6-E shall be agreed by the haulier who has entered into the transport agreement with the regulated agent, known consignor or account consignor, unless the haulier is itself approved as a regulated agent.

The signed declaration shall be retained by the regulated agent, known consignor or account consignor on whose behalf the transport is carried out. On request, a copy of the signed declaration shall also be made available to the regulated agent or air carrier receiving the consignment or to the appropriate authority concerned.

As an alternative to point (c), the haulier may provide evidence to the regulated agent, known consignor or account consignor for whom it provides transport that it has been certified or approved by an appropriate authority.

This evidence shall include the requirements contained in Attachment 6-E and copies shall be retained by the regulated agent, known consignor or account consignor concerned. On request, a copy shall also be made available to the regulated agent or air carrier receiving the consignment or to another appropriate authority.

6.6.1.2 Point 6.6.1.1(b) and (c) shall not apply during airside transportation. U.K.

6.6.2 [F1 Protection for cargo and mail during handling, storage, and loading onto an aircraft] U.K.

6.6.2.1 Consignments of cargo and mail that are in a critical part shall be considered as protected from unauthorised interference. U.K.

[F1 6.6.2.2 Consignments of cargo and mail in a part other than a critical part of a security restricted area shall be protected from unauthorised interference until they are handed over to another regulated agent or air carrier. Consignments shall be located in the access-controlled parts of a regulated agent's premises or, whenever located outside of such parts, shall be considered as protected from unauthorised interference if: U.K.

(a)

they are physically protected so as to prevent the introduction of a prohibited article; or

(b)

they are not left unattended and access is limited to persons involved in the protection and loading of cargo and mail onto an aircraft.]

6.7 HIGH RISK CARGO AND MAIL (HRCM) U.K.

Provisions for high risk cargo and mail are laid down in Commission Implementing Decision C(2015) 8005.

6.8 SECURITY PROCEDURES FOR CARGO AND MAIL BEING CARRIED INTO THE UNION FROM THIRD COUNTRIES U.K.

6.8.1 Designation of air carriers U.K.

6.8.1.1 Any air carrier carrying cargo or mail from an airport in a third country not listed in Attachments 6-Fi or 6-Fii for transfer, transit or unloading at any airport falling within the scope of Regulation (EC) No 300/2008 shall be designated as an ‘Air Cargo or Mail Carrier operating into the Union from a Third Country Airport’ (ACC3) by one of the following authorities as appropriate: U.K.

(a)

by the appropriate authority of the Member State that issued the air carrier's Air Operator's Certificate;

(b)

by the appropriate authority of the Member State listed in the Annex to Commission Regulation (EC) No 748/2009(4), for air carriers that do not hold an Air Operator's Certificate issued by a Member State;

(c)

by the appropriate authority of the Member State where the air carrier has its major base of operations in the Union, or any other appropriate authority of the Union by agreement with that appropriate authority, for air carriers not holding an Air Operator's Certificate issued by a Member State and not listed in the Annex to Regulation (EC) No 748/2009.

6.8.1.2 The designation of an air carrier as ACC3 in respect of its cargo and mail operations from an airport for which ACC3 designation is required (hereafter, the ‘relevant cargo operations’) shall be based on: U.K.

(a)

the nomination of a person with overall responsibility on the air carrier's behalf for the implementation of cargo or mail security provisions in respect of the relevant cargo operation; and

(b)

an EU aviation security validation report confirming the implementation of security measures.

6.8.1.3 The appropriate authority shall allocate to the designated ACC3 a unique alphanumeric identifier in the standard format identifying the air carrier and the third country airport for which the air carrier has been designated to carry cargo or mail into the Union. U.K.

6.8.1.4 The designation shall be valid from the date the appropriate authority has entered the ACC3's details into the Union database on supply chain security, for a maximum period of five years. U.K.

6.8.1.5 An ACC3 listed on the Union database on supply chain security shall be recognised in all Member States for all operations from the third country airport into the Union. U.K.

6.8.2 EU aviation security validation for ACC3 U.K.

6.8.2.1 The EU aviation security validation in respect of an air carrier's relevant cargo operations shall consist of: U.K.

(a)

an examination of the air carrier's security programme ensuring its relevance and completeness in respect of all points set out in Attachment 6-G; and

(b)

verification of the implementation of aviation security measures in respect of the relevant cargo operations by using the checklist set out in Attachment 6-C3.

6.8.2.2 The EU aviation security validation's verification of the implementation shall be on-site, to one of the following degrees: U.K.

(1)

At the airport from which the air carrier has relevant cargo operations before ACC3 designation can be granted for that airport.

If the EU aviation security validation thereupon establishes the non-implementation of one or more of the objectives listed in the checklist set out in Attachment 6-C3, the appropriate authority shall not designate the air carrier as ACC3 for the relevant cargo operations without proof of the implementation of measures by the air carrier rectifying the deficiency identified.

(2)

At a representative number of airports with relevant cargo operations of an air carrier before ACC3 designation is granted for all airports with relevant cargo operations of that air carrier. The following conditions apply:

(a)

this option is requested by an air carrier which operates several relevant air cargo operations; and

(b)

the appropriate authority has verified that the air carrier applies an internal security quality assurance programme that is equivalent to EU aviation security validation; and

(c)

the representative number shall be at least 3 or 5 %, whichever is the higher, and all airports situated in a high risk origin; and

(d)

the appropriate authority has agreed to a roadmap that ensures EU aviation security validations for every year of the designation at additional airports for which ACC3 designation will be granted or until all airports are validated. Those validations shall each year be at least equal in number to those required in (c). The roadmap shall state the reasons underpinning the choice of additional airports; and

(e)

all ACC3 designations shall end on the same day; and

(f)

where one of the EU aviation security validations agreed under the roadmap establishes the non-implementation of one or more of the objectives listed in the checklist set out in Attachment 6-C3, the designating appropriate authority shall require proof of the implementation of measures rectifying the deficiency identified at that airport, and, depending on the seriousness of the deficiency, request:

• EU aviation security validation of all airports for which ACC3 designation is required in accordance with point 6.8.2.2.1 within a deadline set by the appropriate authority, or

• twice the number of the EU aviation security validations established under (d) per each of the remaining years of ACC3 designations.

[F1 6.8.2.3 The appropriate authority may accept the EU aviation security validation report of a third country entity, or of another ACC3, for ACC3 designation in cases where that entity or ACC3 carries out the entire cargo operation, including loading into the hold of the aircraft, on behalf of the applicant ACC3 and the EU aviation security validation report covers all these activities. U.K.

6.8.2.4 The EU aviation security validation shall be recorded in a validation report consisting at least of the declaration of commitments as set out in Attachment 6-H1, the checklist set out in Attachment 6-C3 and a declaration by the EU aviation security validator as set out in Attachment 11-A. The EU aviation security validator shall submit the validation report to the appropriate authority and provide the validated air carrier with a copy.] U.K.

F2 6.8.2.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

6.8.3 Security controls for cargo and mail arriving from a third country U.K.

[F1 6.8.3.1 The ACC3 shall ensure that all cargo and mail carried for transfer, transit or unloading at a Union airport is screened, unless: U.K.

(a)

the required security controls have been applied to the consignment by an EU aviation security validated regulated agent (RA3) and the consignment has been protected from unauthorised interference from the time that those security controls were applied and until loading; or

(b)

the required security controls have been applied to the consignment by an EU aviation security validated known consignor (KC3) and the consignment has been protected from unauthorised interference from the time that those security controls were applied and until loading; or

(c)

the required security controls have been applied to the consignment by an account consignor (AC3) under the responsibility of the ACC3 or of an EU aviation security validated regulated agent (RA3), the consignment has been protected from unauthorised interference from the time that those security controls were applied and until loading, and it is not carried on a passenger aircraft; or

(d)

the consignment is exempted from screening in accordance with point (d) of point 6.1.1 and protected from unauthorised interference from the time that it became identifiable air cargo or identifiable air mail and until loading.

Point (c) shall apply until 30 June 2021 .]

6.8.3.2 Cargo and mail carried into the Union shall be screened by one of the means and methods listed in point 6.2.1 to a standard sufficient to reasonably ensure that it contains no prohibited articles. U.K.

6.8.3.3 The ACC3 shall ensure in respect of: U.K.

(a)

transfer and transit cargo or mail that screening in accordance with point 6.8.3.2 or security controls have been applied by itself or by an EU aviation security validated entity at the point of origin or elsewhere in the supply chain and such consignments have been protected from unauthorised interference from the time that those security controls were applied and until loading; and

(b)

high risk cargo and mail that screening in accordance with point 6.7 has been applied by itself or by an EU aviation security validated entity at the point of origin or elsewhere in the supply chain, that such consignments have been labelled SHR and have been protected from unauthorised interference from the time that those security controls were applied and until loading.

[F1 6.8.3.4 When tendering consignments to which it has applied the required security controls to another ACC3 or RA3, the ACC3, RA3, or KC3 shall indicate in the accompanying documentation the unique alphanumeric identifier received from the designating appropriate authority. U.K.

6.8.3.5 When accepting any consignments, an ACC3 or RA3 shall establish whether the air carrier or the entity from which it receives the consignments is another ACC3, RA3, or KC3 by the following means of: U.K.

(a)

verifying whether or not the unique alphanumeric identifier of the entity delivering the consignments is indicated on the accompanying documentation; and

(b)

confirming that the air carrier or entity delivering the consignment is listed as active in the Union database on supply chain security for the specified airport or site, as appropriate.

If there is no indication on the accompanying documentation of the identifier, or if the air carrier or entity delivering the consignments is not listed as active in the Union database on supply chain security, it shall be deemed that no security controls have previously been applied, and the consignments shall be screened by the ACC3 or by another EU aviation security validated RA3 before being loaded onto the aircraft.]

[F3 6.8.3.6 After the security controls referred to in points 6.8.3.1 to 6.8.3.5 have been applied, the ACC3 or the EU aviation security validated regulated agent (RA3) operating on its behalf shall ensure that the accompanying documentation, either in the form of an air waybill, equivalent postal documentation or in a separate declaration and either in an electronic format or in writing, indicate at least: U.K.

(a)

the unique alphanumeric identifier of the ACC3; and

(b)

the security status of the consignment as referred to in point (d) of point 6.3.2.6 and issued by an EU aviation security validated regulated agent (RA3); and

(c)

the unique identifier of the consignment, such as the number of the house or master air waybill, when applicable; and

(d)

the content of the consignment; and

(e)

the reasons for issuing the security status, including the means or method of screening used or the grounds for exempting the consignment from screening, using the standards adopted in the Consignment Security Declaration scheme.

6.8.3.7 In the absence of a third country regulated agent referred to in point (b) of point 6.8.3.6, the security status declaration may be issued by the ACC3 or by the air carrier arriving from a third country listed in Attachments 6-Fi or 6-Fii.] U.K.

[F1 6.8.4 Designation of regulated agents and known consignors U.K.

6.8.4.1 Third country entities being, or intending to be, part of the supply chain of an air carrier holding the status of ACC3, may be designated as either ‘ third country regulated agent ’ (RA3) or ‘ third country known consignor ’ (KC3). U.K.

6.8.4.2 To obtain designation, the entity shall address the request to: U.K.

(a)

the appropriate authority of the Member State responsible for the ACC3 designation of an air carrier at the third country airport where the applicant handles EU bound cargo; or

(b)

where there is no ACC3 designated air carrier in that country, the appropriate authority of the Member State responsible for the approval of the EU aviation security validator performing, or having performed, the validation.

The appropriate authority receiving the request shall start the designation process, or agree with the appropriate authority of another Member State on its delegation, taking into account political or aviation cooperation, or both.

6.8.4.3 Before designation, the eligibility to obtain RA3 or KC3 status in accordance with point 6.8.4.1 shall be confirmed. U.K.

6.8.4.4 The designation of an entity as RA3 or KC3 in respect of its cargo and mail operations ( ‘ relevant cargo operations ’ ) shall be based on the following: U.K.

(a)

the nomination of a person with overall responsibility on the entity's behalf for the implementation of cargo or mail security provisions in respect of the relevant cargo operation; and

(b)

an EU aviation security validation report confirming the implementation of security measures.

6.8.4.5 The appropriate authority shall allocate to the designated RA3 or KC3 a unique alphanumeric identifier in the standard format identifying the entity and the third country for which it has been designated to implement security provisions in respect of cargo or mail bound for the Union. U.K.

6.8.4.6 The designation shall be valid from the date the appropriate authority has entered the entity's details into the Union database on supply chain security, for a maximum period of three years. U.K.

6.8.4.7 An entity listed as RA3 or KC3 on the Union database on supply chain security shall be recognised in all Member States for operations conducted in respect of cargo or mail transported from the third country airport into the Union by an ACC3. U.K.

6.8.4.8 Designations of RA3 and KC3 issued before 1 June 2017 shall expire five years after their designation or on 31 March 2020 , whichever date comes earlier. U.K.

6.8.4.9 Upon request by the appropriate authority of their approval, EU aviation security validators shall make available the details contained in Part 1 of the checklist set out in Attachment 6-C2 or Attachment 6-C4, as appropriate, for each entity they have designated, in order to establish a consolidated list of entities designated by EU aviation security validators. U.K.

6.8.5 Validation of regulated agents and known consignors U.K.

6.8.5.1 In order to be designated as EU aviation security validated regulated agent or known consignor, third country entities shall be validated according to one of the following two options: U.K.

(a)

the ACC3's security programme shall set out details of security controls implemented on its behalf by third country entities from which it accepts cargo or mail directly for carriage into the Union. The EU aviation security validation of the ACC3 shall validate the security controls applied by those entities; or

(b)

the third country entities shall submit the relevant cargo handling activities to an EU aviation security validation at intervals not exceeding three years. The EU aviation security validation shall consist of the following:

(i)

an examination of the entity's security programme ensuring its relevance and completeness in respect of the operations performed; and

(ii)

on-site verification of the implementation of aviation security measures in respect of the relevant cargo operations.

The validation report shall consist of, for third country regulated agents, the declaration of commitments as set out in Attachment 6-H2 and the checklist set out in Attachment 6-C2, and for third country known consignors, the declaration of commitments as set out in Attachment 6-H3 and the checklist set out in Attachment 6-C4. The validation report shall also include a declaration by the EU aviation security validator, as set out in Attachment 11-A.

6.8.5.2 Once the EU aviation security validation according to point (b) of point 6.8.5.1 has been completed, the EU aviation security validator shall submit the validation report to the appropriate authority and provide the validated entity with a copy. U.K.

6.8.5.3 A compliance monitoring activity conducted by the appropriate authority of a Member State or by the Commission may be considered as an EU aviation security validation, provided that it covers all areas specified in the checklist set out in Attachment 6-C2 or 6-C4, as appropriate. U.K.

6.8.5.4 The ACC3 shall maintain a database giving at least the following information for each regulated agent or known consignor that has been subject to EU aviation security validation in accordance with point 6.8.5.1, from which it directly accepts cargo or mail for carriage into the Union: U.K.

(a)

the company details, including the bona fide business address; and

(b)

the nature of the business, excluding business sensitive information; and

(c)

contact details, including those of the person(s) responsible for security; and

(d)

the company registration number, if applicable; and

(e)

where available, the validation report; and

(f)

the unique alphanumeric identifier attributed in the Union database on supply chain security.

Where applicable, the database shall contain the above information for each account consignor under its responsibility in accordance with point (c) of point 6.8.3.1, from which the ACC3 directly accepts cargo or mail for carriage into the Union.

The database shall be available for inspection of the ACC3.

Other EU aviation security validated entities may maintain such a database.

6.8.5.5 An air cargo or mail entity operating a network of different sites in third countries may obtain a single designation as EU aviation security validated regulated agent covering all sites of the network, provided that: U.K.

(a)

the relevant aviation security operations of the network, including transport services between sites, are covered by a single security programme or by standardised security programmes; and

(b)

the implementation of the security programme(s) is subject to a single internal security quality assurance programme that is equivalent to EU aviation security validation; and

(c)

before designation of the network as EU aviation security regulated agent, the following sites of the entity have been subject to an EU aviation security validation:

(i)

the site(s) from which cargo or mail is directly delivered to an ACC3, and

(ii)

at least two or 20 % of the sites of the network, whichever is the higher, from which cargo or mail is fed to site(s) referred to in point (i), and

(iii)

all sites located in third countries listed in Attachment 6-I to Commission Implementing Decision C(2015) 8005.

In order to maintain EU aviation security validated regulated agent designation for all sites of the network not validated until 30 June 2018 at the latest, during every year after the year of designation, at least a further two or 20 %, whichever is the higher, of the sites from which cargo or mail is fed to the site(s) mentioned in point (i) shall be subjected to an EU aviation security validation, until all sites are validated.

An EU aviation security validator shall establish the roadmap listing the order of the locations to be validated each year selected on a random basis. The roadmap shall be established independently from the entity operating the network and may not be changed by that entity. This roadmap shall constitute an integral part of the validation report on the basis of which the network is designated as a third country EU validated regulated agent.

Once it has been subjected to an EU aviation security validation, a site of the network shall be considered as a third country regulated agent in accordance with point 6.8.4.2.

6.8.5.6 If the EU aviation security validation of a site of the network referred to in point (ii) of point (c) of point 6.8.5.5 concludes that the site has failed to comply with the objectives referred to in the checklist in Attachment 6-C2, cargo and mail from that site shall be screened at a site designated as third country regulated agent in accordance with point 6.8.4.2 until an EU aviation security validation confirms compliance with the objectives of the checklist. U.K.

6.8.5.7 Points 6.8.5.5 and 6.8.5.6 shall expire on 30 June 2018 .] U.K.

[F3 6.8.6 Non-compliance and discontinuation of ACC3, RA3 and KC3 designation U.K.

6.8.6.1 Non-Compliance U.K.

1. If the Commission or an appropriate authority identifies a serious deficiency relating to the operations of an ACC3, an RA3 or a KC3, which is deemed to have a significant impact on the overall level of aviation security in the Union, it shall: U.K.

(a)

inform the air carrier or entity concerned promptly, request comments and appropriate measures rectifying the serious deficiency; and

(b)

promptly inform the other Member States and the Commission.

2. Where the ACC3, the RA3 or the KC3 has not rectified the serious deficiency within a specific time-frame, or in case the ACC3, the RA3 or the KC3 does not react to the request set out in point (a) of point 6.8.6.1, the authority, or the Commission shall: U.K.

(a)

deactivate the status as ACC3, RA3 or KC3 of the operator or entity in the Union database on supply chain security; or

(b)

request the appropriate authority responsible for the designation to deactivate the status as ACC3, RA3 or KC3 of the operator or entity in the Union database on supply chain security.

In the situation referred to in the first paragraph, the authority, or the Commission, shall promptly inform the other Member States and the Commission.

3. An air carrier or entity whose status, respectively as an ACC3, RA3 or KC3, has been deactivated in accordance with point 6.8.6.1.2 shall not be reinstated or included in the Union database on supply chain security until an EU aviation security re-designation in accordance with 6.8.1 or 6.8.4 has taken place. U.K.

4. If an air carrier or an entity is no longer a holder of the ACC3, RA3 or KC3 status, the appropriate authorities shall undertake appropriate action to satisfy themselves that other ACC3s, RA3s and KC3s under their responsibility, operating in the supply chain of the air carrier or entity that has lost the status, still comply with the requirements of Regulation (EC) No 300/2008. U.K.

6.8.6.2 Discontinuation U.K.

1. The appropriate authority that designated the ACC3, the RA3 or the KC3, is responsible for removing the details thereof from the ‘Union database on supply chain security’: U.K.

(a)

at the request of or in agreement with the air carrier or the entity; or

(b)

where the ACC3, the RA3 or the KC3 does not pursue relevant cargo operations and does not react to a request for comments or otherwise obstructs the assessment of risk to aviation.

2. If an air carrier or an entity is no longer a holder of the ACC3, RA3 or KC3 status, the appropriate authorities shall undertake appropriate action to satisfy themselves that other ACC3s, RA3s and KC3s under their responsibility, operating in the supply chain of the air carrier or entity that has been discontinued, still comply with the requirements of Regulation (EC) No 300/2008.] U.K.

ATTACHMENT 6-A U.K.

DECLARATION OF COMMITMENTS — REGULATED AGENT U.K.

In accordance with Regulation (EC) No 300/2008 of the European Parliament and of the Council(5) on common rules in the field of civil aviation security and its implementing acts,

I declare that,

• to the best of my knowledge, the information contained in the company's security programme is true and accurate,

• the practices and procedures set out in this security programme will be implemented and maintained at all sites covered by the programme,

• this security programme will be adjusted and adapted to comply with all future relevant changes to Union legislation, unless [name of company] informs [name of appropriate authority] that it no longer wishes to trade as a regulated agent,

• [name of company] will inform [name of appropriate authority] in writing of:

  (a)

  minor changes to its security programme, such as company name, person responsible for security or contact details, change of person requiring access to the ‘Union database on supply chain security’, promptly and at least within 10 working days; and

  (b)

  major planned changes, such as new screening procedures, major building works which might affect its compliance with relevant Union legislation or change of site/address, at least 15 working days prior to their commencement/the planned change,

• in order to ensure compliance with relevant Union legislation, [name of company] will cooperate fully with all inspections, as required, and provide access to all documents, as requested by inspectors,

• [name of company] will inform [name of appropriate authority] of any serious security breaches and of any suspicious circumstances which may be relevant to air cargo/air mail security, in particular any attempt to conceal prohibited articles in consignments,

• [name of company] will ensure that all relevant staff receive training in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998 and are aware of their security responsibilities under the company's security programme; and

• [name of company] will inform [name of appropriate authority] if:

  (a)

  it ceases trading;

  (b)

  it no longer deals with air cargo/air mail; or

  (c)

  it can no longer meet the requirements of the relevant Union legislation.

I shall accept full responsibility for this declaration.

Name:

Position in company:

Date:

Signature:

ATTACHMENT 6-B U.K.

GUIDANCE FOR KNOWN CONSIGNORS U.K.

This guidance will help you to assess your existing security arrangements against the required criteria for known consignors as described in Regulation (EC) No 300/2008 of the European Parliament and of the Council(6) and its implementing acts. This should enable you to ensure that you meet the requirements before arranging an official on-site validation visit.

It is important that the validator is able to talk to the right people during the validation visit (e.g. person responsible for security and person responsible for recruitment of staff). An EU checklist will be used to record the validator's assessments. Once the validation checklist is completed, the information contained in the checklist will be handled as classified information.

Please note that questions on the EU checklist are of two types: (1) those where a negative response will automatically mean that you cannot be accepted as a known consignor and (2) those which will be used to build up a general picture of your security provisions to allow the validator to reach an overall conclusion. The areas where a ‘fail’ will automatically be recorded are indicated by the requirements indicated in bold type below. If there is a ‘fail’ on the requirements indicated in bold type, the reasons will be given to you and advice on adjustments needed to pass.

If you are a holder of an AEO certificate referred to in point (b) or (c) of Article 14a(1) of Commission Regulation (EEC) No 2454/93(7) (so called AEOF and AEOS certificates) and if the site for which you are requesting the known consignor status has been successfully examined by customs authorities at a date not earlier than 3 years before the date of requesting the known consignor status, you are required to fill out and have signed by a legal representative of your company Part 1 concerning the organisation and responsibilities as well as the declaration of commitments of the ‘Validation checklist for known consignors’ as contained in attachment 6-C.

Introduction U.K.

The cargo must be originated by your company on the site to be inspected. This covers manufacture on the site and pick and pack operations where the items are not identifiable as air cargo until they are selected to meet an order. (See also Note.)

You will have to determine where a consignment of cargo/mail becomes identifiable as air cargo/air mail and demonstrate that you have the relevant measures in place to protect it from unauthorised interference or tampering. This will include details concerning the production, packing, storage and/or despatch.

Organisation and responsibilities U.K.

You will be required to provide details about your organisation (name, VAT or Chamber of Commerce number or Corporate registration number if applicable, AEO certificate number and the date of the last examination of this site by customs authorities, if applicable), address of the site to be validated and main address of organisation (if different from the site to be validated). The date of the previous validation visit and last unique alphanumeric identifier (if applicable) are required, as well as of the nature of the business, the approximate number of employees on site, name and title of the person responsible for air cargo/air mail security and contact details.

Staff recruitment procedure U.K.

You will be required to provide details of your recruitment procedures for all staff (permanent, temporary or agency staff, drivers) with access to identifiable air cargo/air mail. The recruitment procedure shall include a pre-employment check or a background check in accordance with point 11.1 of the Annex to Implementing Regulation (EU) 2015/1998. The on-site validation visit will involve an interview with the person responsible for the recruitment of staff. He/she will need to present evidence (e.g. blank forms) to substantiate the company procedures. This recruitment procedure shall apply to staff recruited after 29 April 2010.

Staff security training procedure U.K.

You will need to demonstrate that all staff (permanent, temporary or agency staff, drivers) with access to air cargo/air mail have received the appropriate training on security awareness matters. This training shall take place in accordance with point 11.2.7 of the Annex to Implementing Regulation (EU) 2015/1998. Individual training records should be kept on file. In addition, you will be required to show that all relevant staff implementing security controls have received training or recurrent training in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998.

Physical security U.K.

You will be required to demonstrate how your site is protected (e.g. a physical fence or barrier) and that relevant access control procedures are in place. Where applicable, you will be required to provide details of any possible alarm- and/or CCTV system. It is essential that access to the area where air cargo/air mail is processed or stored, is controlled. All doors, windows and other points of access to air cargo/air mail need to be secured or subject to access control.

Production (where applicable) U.K.

You will need to demonstrate that access to the production area is controlled and the production process supervised. If the product can be identified as air cargo/air mail in the course of production then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

Packing (where applicable) U.K.

You will need to demonstrate that access to the packing area is controlled and the packing process supervised. If the product can be identified as air cargo/air mail in the course of packing then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

You will be required to provide details of your packing process and show that all finished goods are checked prior to packing.

You will need to describe the finished outer packing and demonstrate that it is robust. You also have to demonstrate how the finished outer packing is made tamper evident, for example by the use of numbered seals, security tape, special stamps or cardboard boxes fixed by a tape. You also need to show that you hold those under secure conditions when not in use and control their issue.

Storage (where applicable) U.K.

You will need to demonstrate that access to the storage area is controlled. If the product can be identified as air cargo/air mail while being stored then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

Finally, you will have to demonstrate that finished and packed air cargo/air mail is checked before despatch.

Despatch (where applicable) U.K.

You will need to demonstrate that access to the despatch area is controlled. If the product can be identified as air cargo/air mail in the course of despatch then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

Transportation U.K.

You will have to provide details concerning the method of transportation of cargo/mail to the regulated agent.

If you use your own transport, you will have to demonstrate that your drivers have been trained to the required level. If a contractor is used by your company, you will have to ensure that a) the air cargo/air mail is sealed or packed by you so as to ensure that any tampering would be evident and b) the haulier declaration as contained in Attachment 6-E of the Annex to Implementing Regulation (EU) 2015/1998 has been signed by the haulier.

If you are responsible for the transportation of air cargo/air mail, you will have to show that the means of transport are securable, either through the use of seals, if practicable, or any other method. Where numbered seals are used, you will have to demonstrate that access to the seals is controlled and numbers are recorded; if other methods are used you will have to show how cargo/mail is made tamper evident and/or kept secure. In addition you will need to show that there are measures in place to verify the identity of the drivers of vehicles collecting your air cargo/air mail. You will also need to show that you ensure that cargo/mail is secure when it leaves the premises. You will have to demonstrate that air cargo/air mail is protected from unauthorised interference during transportation.

You will not have to provide evidence about driver training or a copy of the haulier declaration where a regulated agent has made the transport arrangements for collecting air cargo/air mail from your premises.

Consignor's responsibilities U.K.

You will need to declare that you will accept unannounced inspections by the appropriate authority's inspectors for the purpose of monitoring these standards.

You will also need to declare to provide [name of appropriate authority] with the relevant details promptly but at least within 10 working days if:

(a)

the overall responsibility for security is assigned to anyone other than the person named

(b)

there are any other changes to premises or procedures likely to significantly impact on security

(c)

your company ceases trading, no longer deals with air cargo/air mail or can no longer meet the requirements of the relevant EU legislation.

Finally, you will need to declare to maintain standards of security until the subsequent on-site validation visit and/or inspection.

You will then be required to accept full responsibility for the declaration and to sign the validation document.

NOTES: U.K.

Explosive and incendiary devices U.K.

Assembled explosive and incendiary devices may be carried in consignments of cargo if the requirements of all safety rules are met in full.

Consignments from other sources U.K.

A known consignor may pass consignments which it has not itself originated to a regulated agent, provided that:

(a)

they are separated from consignments which it has originated; and

(b)

the origin is clearly indicated on the consignment or on accompanying documentation.

All such consignments must be screened before they are loaded on to an aircraft.

ATTACHMENT 6-C U.K.

VALIDATION CHECKLIST FOR KNOWN CONSIGNORS U.K.

Completion notes: U.K.

When completing this form please note that:

• Items marked ‘(*)’ are required data and MUST be completed.

• If the answer to any question in bold type is NO, the validation MUST be assessed as a FAIL. This does not apply where the questions do not apply.

• The overall assessment can only be assessed as a PASS after the consignor has signed the declaration of commitments on the last page.

• The original declaration of commitments must be retained by or made available to the appropriate authority until the validation expires. A copy of the declaration should also be given to the consignor.

PART 1 U.K. Organisation and responsibilities

1.1 Date of validation (*)
dd/mm/yyyy
1.2 Date of previous validation and Unique Identifier where applicable
dd/mm/yyyy
UNI
1.3 Name of organisation to be validated (*)
Name VAT/Chamber of Commerce number/Corporate registration number (if applicable)
1.4 Information on AEOF or AEOS certificate, where applicable
AEO certificate number
Date when customs authorities have last examined this site
1.5 Address of site to be validated (*)
Number/Unit/Building
Street
Town
Postcode
Country
1.6 Main address of organisation (if different from site to be validated, provided that it is in the same country)
Number/Unit/Building
Street
Town
Postcode
Country
1.7 Nature of Business(es) — types of cargo processed
1.8 Is the applicant responsible for:
(a) Production (b) Packing (c) Storage (d) Dispatch (e) Other, please specify
1.9 Approximate number of employees on site
1.10 Name and title of person responsible for air cargo/air mail security (*)
Name
Job title
1.11 Contact telephone number
Tel. no.
1.12 E-mail address (*)
E-mail

PART 2 U.K. Identifiable air cargo/air mail

Aim: To establish the point (or: place) where cargo/mail becomes identifiable as air cargo/air mail.

2.1 By inspection of the production, packing, storage, selection, despatch and any other relevant areas, ascertain where and how a consignment of air cargo/air mail becomes identifiable as such. U.K.

Describe:

NB: Detailed information should be given on the protection of identifiable air cargo/air mail from unauthorised interference or tampering in Parts 5 to 8. U.K.

PART 3 U.K. Staff recruitment and training

Aim: To ensure that all staff (permanent, temporary, agency staff, drivers) with access to identifiable air cargo/air mail have been subject to an appropriate pre-employment check and/or background check as well as trained in accordance with point 11.2.7 of the Annex to Implementing Regulation (EU) 2015/1998. In addition, to ensure that all staff implementing security controls in respect of supplies are trained in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998.

Whether or not 3.1 and 3.2 are questions in bold type (and thus where a NO answer must be assessed as a fail) depends on the applicable national rules of the State where the site is located. However, at least one of these two questions shall be in bold type, whereby it should also be allowed that where a background has been carried out, then a pre-employment check is no longer required. The person responsible for implementing security controls shall always have a background check.

3.1 Is there a recruitment procedure for all staff with access to identifiable air cargo/air mail which includes a pre-employment check in accordance with point 11.1.4 of the Annex to Implementing Regulation (EU) 2015/1998? This applies to staff recruited after 29 April 2010.
YES or NO
If YES, which type
3.2 Does this recruitment procedure also include a background check, including a check on criminal records, in accordance with point 11.1.3 of the Annex to Implementing Regulation (EU) 2015/1998? This applies to staff recruited after 29 April 2010.
YES or NO
If YES, which type
3.3 Does the appointment process for the named person responsible for the application and supervision of the implementation of security controls at the site include a requirement for a background check, including a check on criminal records in accordance with point 11.1.3 of the Annex to Implementing Regulation (EU) 2015/1998?
YES or NO
If YES, describe
3.4 Do staff with access to identifiable air cargo/air mail receive security awareness training in accordance with point 11.2.7 of the Annex to Implementing Regulation (EU) 2015/1998 before being given access to identifiable air cargo/air mail? Do staff implementing security controls in respect of supplies receive training in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998?
YES or NO
If YES, describe
3.5 Do staff (as referred to above) receive refresher training in accordance with the frequency established for this training?
YES or NO
3.6 Assessment — Are the measures sufficient to ensure that all staff with access to identifiable air cargo/air mail and staff implementing security controls have been properly recruited and trained in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998?
YES or NO
If NO, specify reasons

PART 4 U.K. Physical security

Aim: To establish if there is a level of (physical) security on the site or at the premises sufficient to protect identifiable air cargo/air mail from unauthorised interference.

4.1 Is the site protected by a physical fence or barrier?
YES or NO
4.2 Are all the access points to the site subject to access control?
YES or NO
4.3 If YES, are the access points…?
Staffed
Manual
Automatic
Electronic
Other, specify
4.4 Is the building of sound construction?
YES or NO
4.5 Does the building have an effective alarm system?
YES or NO
4.6 Does the building have an effective CCTV system?
YES or NO
4.7 If yes, are the images of the CCTV recorded?
YES or NO
4.8 Are all doors, windows and other points of access to identifiable air cargo/air mail secure or subject to access control?
YES or NO
4.9 If no, specify reasons
4.10 Assessment: Are the measures taken by the organisation sufficient to prevent unauthorised access to those parts of the site and premises where identifiable air cargo/air mail is processed or stored?
YES or NO
If NO, specify reasons

PART 5 U.K. Production

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the production process.

5.1 Is access controlled to the production area?
YES or NO
5.2 If YES, how?
5.3 Is the production process supervised?
YES or NO
5.4 If YES, how?
5.5 Are controls in place to prevent tampering at the stage of production?
YES or NO
If YES, describe
5.6 Assessment: Are measures taken by the organisation sufficient to protect identifiable air cargo/air mail from unauthorised interference or tampering during production?
YES or NO
If NO, specify reasons

PART 6 U.K. Packing

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the packing process.

6.1 Is the packing process supervised?
YES or NO
6.2 If YES, how?
6.3 Please describe the finished outer packaging:
(a) Is the finished outer packaging robust?
YES or NO Describe:
(b) Is the finished outer packaging tamper evident?
YES or NO
Describe:
6.4 (a) Are numbered seals, security tape, special stamps or cardboard boxes fixed by a tape used to make air cargo/air mail tamper evident?
YES or NO
If YES:
6.4 (b) Are the seals, security tape or special stamps held under secure conditions when not in use?
YES or NO
Describe:
6.4 (c) Is the issue of numbered seals, security tape, and/or stamps controlled?
YES or NO
Describe:
6.5 If the answer to 6.4 (a) is YES, how is this controlled?
6.6 Assessment: Are the packing procedures sufficient to protect identifiable air cargo/air mail from unauthorised interference and/or tampering?
YES or NO
If NO, specify reasons

PART 7 U.K. Storage

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the storage process.

7.1 Is the finished and packed air cargo/air mail stored securely and checked for tampering?
YES or NO
7.2 Assessment: Are the storage procedures sufficient to protect identifiable air cargo/air mail from unauthorised interference and/or tampering?
YES or NO
If NO, specify reasons

PART 8 U.K. Despatch

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the despatch process.

8.1 Is access controlled to the despatch area?
YES or NO
8.2 If YES, how?
8.3 Who has access to the despatch area?
Employees?
YES or NO
Drivers?
YES or NO
Visitors?
YES or NO
Contractors?
YES or NO
8.4 Assessment: Is the protection sufficient to protect the air cargo/air mail from unauthorised interference or tampering in the despatch area?
YES or NO
If NO, specify reasons

PART 8A U.K. Consignments from other sources

Aim: to establish the procedures for dealing with unsecured consignments.

Answer these questions only if consignments for carriage by air are being accepted from other companies.

8A.1 Does the company accept consignments of cargo intended for carriage by air from any other companies?
YES OR NO
8A.2 If YES, how are these kept separate from the company's own cargo and how are they identified to the regulated agent/haulier?

PART 9 U.K. Transportation

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

9.1 How is the air cargo/air mail conveyed to the regulated agent?
(a) By, or on behalf of, the regulated agent?
YES or NO
(b) Consignor's own transport?
YES or NO
(c) Contractor used by the consignor?
YES or NO
9.2 Where a contractor is used by the consignor: is the air cargo/air mail being sealed or packed before transportation so as to ensure that any tampering would be evident? and has the haulier declaration been signed by the haulier?
YES or NO
Only answer the following questions where 9.1(b) or 9.1(c) applies 9.3 Is the cargo compartment of the transport vehicle securable?
YES or NO
If YES, specify how…
9.4 (a) Where the cargo compartment of the transport vehicle is securable, are numbered seals used?
YES or NO
(b) Where numbered seals are used, is access to the seals controlled and the numbers recorded on issue?
YES or NO
If YES, specify how…
9.5 Where the cargo compartment of the transport vehicle is not securable, is the air cargo/air mail tamper evident?
YES or NO
9.6 If YES, describe tamper evidence employed.
9.7 If NO, how is it kept secure?
9.8 Assessment: Are the measures sufficient to protect air cargo/air mail from unauthorised interference during transportation?
YES or NO
If NO, specify reasons

DECLARATION OF COMMITMENTS U.K.

I declare that:

• I will accept unannounced inspections by the appropriate authority's inspectors for the purpose of monitoring these standards. If the inspector discovers any serious lapses in security, this could lead to the withdrawal of my status as known consignor.

• I will provide [name of appropriate authority] with the relevant details promptly but at least within 10 working days if:

  • the overall responsibility for security is assigned to anyone other than the person named at point 1.10;

  • there are any other changes to premises or procedures likely to significantly impact on security; and

  • the company ceases trading, no longer deals with air cargo/air mail or can no longer meet the requirements of the relevant Union legislation.

• I will maintain standards of security until the subsequent on-site validation visit and/or inspection.

• I shall accept full responsibility for this declaration.

Signed
Position in company

Assessment (and notification)

Pass/Fail
Where the overall assessment is a fail, list below the areas where the consignor fails to achieve the required standard of security or has a specific vulnerability. Also advice on the adjustments needed to achieve the required standard and thus to pass.
Signed
(Name of validator)

[F1 ATTACHMENT 6-C2 U.K.

VALIDATION CHECKLIST FOR THIRD COUNTRY EU AVIATION SECURITY VALIDATED REGULATED AGENTS U.K.

Third country entities have the option to become part of an ACC3's ( Air cargo or mail carrier operating into the Union from a third country airport ) secure supply chain by seeking designation as a third country EU aviation security validated regulated agent (RA3). An RA3 is a cargo handling entity located in a third country that is validated and approved as such on the basis of an EU aviation security validation.

An RA3 shall ensure that security controls including screening where applicable have been applied to consignments bound for the Union and the consignments have been protected from unauthorised interference from the time that those security controls were applied and until the consignments are loaded onto an aircraft or are otherwise handed over to an ACC3 or other RA3.

The prerequisites for carrying air cargo or air mail into the Union (8) or Iceland, Norway and Switzerland are provided for in Implementing Regulation (EU) 2015/1998.

The checklist is the instrument to be used by the EU aviation security validator for assessing the level of security applied to EU or EEA bound air cargo or air mail (9) by or under the responsibility of the entity seeking designation as a RA3. The checklist is to be used only in the cases specified in point (b) of point 6.8.5.1 of the Annex to Implementing Regulation (EU) 2015/1998. In cases specified in point (a) of point 6.8.5.1 of that Annex, the EU aviation security validator shall use the ACC3 checklist.

A validation report shall be delivered to the designating appropriate authority and to the validated entity within a maximum of one month after the on-site verification. Integral parts of the validation report shall be at least:

• the completed checklist signed by the EU aviation security validator and where applicable commented by the validated entity; and

• the declaration of commitments (Attachment 6-H2 to Implementing Regulation (EU) 2015/1998) signed by the validated entity; and

• an independence declaration (Attachment 11-A to Implementing Regulation (EU) 2015/1998) in respect of the entity validated signed by the EU aviation security validator.

Page numbering, the date of the EU aviation security validation and initialling on each page by the validator and the validated entity shall be the proof of the validation report's integrity.

The RA3 shall be able to use the report in its business relations with any ACC3 and where applicable, with any RA3.

By default the validation report shall be in English.

Part 5 — Screening and Part 6 — High risk cargo or mail (HRCM) shall be assessed against the requirements of Chapters 6.7 and 6.8 of the Annex to Implementing Regulation (EU) 2015/1998. For those parts that cannot be assessed against the requirements of Implementing Regulation (EU) 2015/1998, baseline standards are the Standards and Recommended Practices (SARPs) of Annex 17 to the Convention on International Civil Aviation and the guidance material contained in the ICAO Aviation Security Manual (Doc 8973-Restricted).

Completion notes: U.K.

• All applicable and relevant parts of the checklist must be completed, in accordance with the business model and operations of the entity being validated. Where no information is available, this must be explained.

• After each part, the EU aviation security validator shall conclude if and to what extent the objectives of this part are met.

PART 1 U.K. Identification of the entity validated and the validator

1.1. Date(s) of validation
Use exact date format, such as from 01.10.2012 to 02.10.2012
dd/mm/yyyy
1.2. Date of previous validation where applicable
dd/mm/yyyy
Previous RA3 registration number, where available
AEO certificate or C-TPAT status or other certifications, where available
1.3. Aviation security validator information
Name
Company/Organisation/Authority
Unique alphanumeric identifier (UAI)
Email address
Telephone number — including international codes
1.4. Name of entity
Name
Company number (for example, commercial register identification number, if applicable)
Number/Unit/Building
Street
Town
Postcode
State (where relevant)
Country
P.O. Box address, if applicable
1.5. Main address of organisation (if different from site to be validated)
Number/Unit/Building
Street
Town
Postcode
State (where relevant)
Country
P.O. Box address, if applicable
1.6. Nature of business — More than one business type may be applicable
(a) air cargo only (b) air and other modes of transport (c) freight forwarder with cargo premises (d) freight forwarder without cargo premises (e) handling agent (f) others
1.7. Does the applicant …?
(a) receive cargo from another 3rd country regulated agent
(b) receive cargo from 3rd country known consignors
(c) receive cargo from 3rd country account consignors
(d) receive exempted cargo
(e) screen cargo
(f) store cargo
(g) other, please specify
1.8. Approximate number of employees on site
Number
1.9. Name and title of person responsible for third country air cargo or air mail security
Name
Job title
Email address
Telephone number — including international codes

PART 2 U.K. Organisation and responsibilities of the third country EU aviation security validated regulated agent

Objective: No air cargo or air mail shall be carried to the EU or EEA without being subject to security controls. Cargo and mail delivered by an RA3 to an ACC3 or another RA3 may only be accepted as secure cargo or mail if such security controls are applied by the RA3. Details of such controls are provided in the following Parts of this checklist.

The RA3 shall have procedures in place to ensure that appropriate security controls are applied to all EU or EEA bound air cargo and air mail and that secure cargo or mail is protected until being transferred to an ACC3 or another RA3. Security controls shall consist of one of the following:

(a)

physical screening which shall be of a standard sufficient to reasonably ensure that no prohibited articles are concealed in the consignment;

(b)

other security controls, part of a supply chain security process, that reasonably ensure that no prohibited articles are concealed in the consignment and which have been applied by another RA3, KC3 or AC3 designated by the RA3.

Reference: point 6.8.3 of the Annex to Implementing Regulation (EU) 2015/1998.

2.1. Has the entity established a security programme?
YES or NO
If NO go directly to point 2.5.
2.2. Entity security programme
Date — use exact format dd/mm/yyyy
Version
Is the security programme submitted and/or approved by the appropriate authority of the state of the entity? If YES please describe the process.
2.3. Does the security programme sufficiently cover the elements mentioned in parts 3 to 9 of the checklist?
YES or NO
If NO, describe why detailing the reasons
2.4. Is the security programme conclusive, robust and complete?
YES or NO
If NO, specify the reasons
2.5. Has the entity established a process to ensure that air cargo or air mail is submitted to appropriate security controls before being transferred to an ACC3 or another RA3?
YES or NO
If YES, describe the process
2.6. Has the entity a management system (such as instruments, instructions) in place to ensure that the required security controls are implemented?
YES or NO
If YES, describe the management system and explain if it is approved, checked or provided by the appropriate authority or another entity.
If NO, explain how the entity ensures that security controls are applied in the required manner.
2.7. Conclusions and general comments on the reliance, conclusiveness and robustness of the process.
Comments from the entity
Comments from the EU aviation security validator

PART 3 U.K. Staff recruitment and training

Objective: To ensure the required security controls are applied, the RA3 shall assign responsible and competent staff to work in the field of securing air cargo or air mail. Staff with access to secured air cargo must possess all the competencies required to perform their duties and shall be appropriately trained.

To fulfil that objective, the RA3 shall have procedures in place to ensure that all staff (such as permanent, temporary, agency staff, drivers) with direct and unescorted access to air cargo or air mail to which security controls are being or have been applied:

(a)

have been subject to initial and recurrent pre-employment checks or background checks, which are at least in accordance with the requirements of the local authorities of the RA3 premises validated; and

(b)

have completed initial and recurrent security training to be aware of their security responsibilities in accordance with the requirements of the local authorities of the RA3 premises validated.

Note: U.K.

• A background check means a check of a person's identity and previous experience, including where legally permissible, any criminal history as part of the assessment of an individual's suitability to implement a security control and/or for unescorted access to a security restricted area (ICAO Annex 17 definition).

• A pre-employment check shall establish the person's identity on the basis of documentary evidence, cover employment, education and any gaps during at least the preceding five years, and require the person to sign a declaration detailing any criminal history in all states of residence during at least the preceding 5 years (Union definition).

Reference: point 6.8.3.1 of the Annex to Implementing Regulation (EU) 2015/1998.

3.1. Is there a procedure ensuring that all staff with direct and unescorted access to secured air cargo/air mail is subject to a pre-employment check that assesses background and competence?
YES or NO
If YES, indicate the number of preceding years taken into account for the pre-employment check and state which entity carries it out.
3.2. Does this procedure include?
□ background check □ pre-employment check □ check of criminal records □ interviews □ other (provide details) Explain the elements, indicate which entity carries this element out and where applicable, indicate the preceding timeframe that is taken into account.
3.3. Is there a procedure ensuring that the person responsible for the application and supervision of the implementation of security controls at the site is subject to a pre-employment check that assesses background and competence?
YES or NO
If YES, indicate the number of preceding years taken into account for the pre-employment check and state which entity carries it out.
3.4. Does this procedure include?
□ background check □ pre-employment check □ check of criminal records □ interviews □ other (provide details) Explain the elements, indicate which entity carries this element out and where applicable, indicate the preceding timeframe that is taken into account.
3.5. Do staff with direct and unescorted access to secured air cargo or air mail receive security training before being given access to secured air cargo or air mail?
YES or NO
If YES, describe the elements and duration of the training
3.6. Do staff that accept, screen or protect air cargo or air mail receive specific job-related training?
YES or NO
If YES, describe the elements and durations of training courses.
3.7. Do staff referred to in points 3.5 and 3.6 receive recurrent training?
YES or NO
If YES, specify the elements and the frequency of the recurrent training
3.8. Conclusion: do the measures concerning staff recruitment and training ensure that all staff with access to secured air cargo or air mail have been properly recruited and trained to a standard sufficient to be aware of their security responsibilities?
YES or NO
If NO, specify reasons
Comments from the entity
Comments from the EU aviation security validator

PART 4 U.K. Acceptance procedures

Objective: The RA3 may receive cargo or mail from another RA3, a KC3, an AC3 or from an unknown consignor. The RA3 shall have appropriate acceptance procedures for cargo and mail in place in order to establish whether a consignment comes from a secure supply chain or not and subsequently which security measures need to be applied to it.

When accepting any consignments, the RA3 shall establish the status of the entity from which it receives the consignments verifying whether or not the unique alphanumeric identifier (UAI) of the entity delivering the consignments is indicated on the accompanying documentation, and confirming that the air carrier or entity delivering the consignment is listed as active in the Union database on supply chain security for the specified airport or site, as appropriate.

If there is no indication of the UAI on the documentation or if the status of the air carrier or entity on the Union database on supply chain security is not active, the RA3 shall treat the consignments as arriving from an unknown source.

Additionally, a RA3 shall maintain a database giving at least the following information for each regulated agent or known consignor that has been subject to EU aviation security validation in accordance with point 6.8.5.1, from which it directly accepts cargo or mail to be delivered to an ACC3 for carriage into the Union:

(a)

the company details, including the bona fide business address;

(b)

the nature of the business, excluding business sensitive information;

(c)

contact details, including those of the person(s) responsible for security;

(d)

the company registration number, if applicable;

(e)

where available, the validation report;

(f)

the unique alphanumeric identifier attributed in the Union database on supply chain security.

Reference: points 6.8.3.1, 6.8.3.5, and 6.8.5.4 of the Annex to Implementing Regulation (EU) 2015/1998.

Note : An RA3 may only accept cargo from an AC3 as secure cargo, if this RA3 has designated this consignor itself as AC3, in accordance with point (c) of point 6.8.3.1 of the Annex to Implementing Regulation (EU) 2015/1998, and accounts for the cargo delivered by this consignor. U.K.

4.1. When accepting a consignment, does the entity establish whether it comes from another RA3, a KC3, an AC3 or an unknown consignor?
YES or NO
If YES, how?
4.2. Does the entity verify the indication of the UAI on the documentation accompanying consignments received from another ACC3, RA3 or KC3 and confirms the active status of the ACC3, RA3 or KC3 on the Union database on supply chain security?
YES or NO
4.3. Does the entity have a procedure to ensure that in case the documentation does not contain the UAI or the entity from which the cargo is received has no active status on the Union database on supply chain security, the consignment is treated as shipment coming from an unknown source?
YES or NO
4.4. Does the entity designate consignors as AC3?
YES or NO
If YES, describe the procedure and the safeguards required by the entity from the consignor.
4.5. When accepting a consignment, does the entity establish whether its destination is an EU or EEA airport?
YES or NO — explain
4.6. If YES — does the entity submit all air cargo or air mail to the same security controls when the destination is an EU or EEA airport?
YES or NO
If YES, describe the procedure
4.7. When accepting a consignment, does the entity establish whether it is to be regarded as high risk cargo and mail (HRCM) (see definition in Part 6), including for consignments that are delivered by other modes of transport than by air?
YES or NO
If YES, how? Describe the procedure
4.8. When accepting a secured consignment, does the validated entity establish whether it has been protected from unauthorised interference or tampering?
YES or NO
If YES, describe by which means (for example, using seals, locks, inspection)
4.9. Is the person making the delivery required to present an official identification document containing a photo?
YES or NO
4.10. Is there a process in place to identify consignments that require screening?
YES or NO
If YES, how?
4.11. Conclusion: Are the acceptance procedures sufficient to establish that air cargo or air mail to an EU or EEA airport destination comes from a secure supply chain or needs to be subject to screening?
YES or NO
If NO, specify reasons
Comments from the entity
Comments from EU aviation security validator

PART 5 U.K. Screening

Objective: Where the RA3 accepts cargo and mail which does not come from a secure supply chain, the RA3 needs to subject these consignments to appropriate screening before it may be delivered to an ACC3 as secure cargo. The RA3 shall have procedures in place to ensure that EU or EEA bound air cargo and air mail for transfer, transit or unloading at a Union airport is screened by the means or methods referred to in Union legislation to a standard sufficient to reasonably ensure that it contains no prohibited articles.

Where screening of air cargo or air mail is performed by or on behalf of the appropriate authority in the third country, the RA3 shall declare this fact and specify the way adequate screening is ensured.

Reference: point 6.8.3 of the Annex to Implementing Regulation (EU) 2015/1998.

5.1. Is screening applied on behalf of the entity by another entity?
YES or NO
If YES, Specify the nature of these entities and provide details: private screening company; government regulated company; government screening facility or body; other Specify the nature of the agreement or contract between the validated entity and the entity that applies the screening on its behalf.
5.2. Is the entity able to request the appropriate security controls in case the screening is carried out by one of the above entities?
YES or NO
If NO, provide details
5.3. By which instruments and instructions (such as oversight, monitoring, and quality control) does the entity ensure that security controls are applied in the required manner by such service providers?
5.4. What methods of screening are used for air cargo and mail?
Specify, including details of equipment used for screening air cargo and air mail (such as manufacturer, type, software version, standard, serial number) for all the methods deployed.
5.5. Is the equipment or method (such as explosive detection dogs) used included in the most recent EU, European Civil Aviation Conference (ECAC) or the Transportation Security Administration (TSA) of the US compliance list?
YES or NO
If YES, provide details
If NO, give details specifying the approval of the equipment and date thereof, as well as any indications that it complies with EU equipment standards.
5.6. Is the equipment used in accordance with the manufacturers' concept of operations (CONOPS) and is the equipment regularly tested and maintained?
YES or NO
If YES, describe the process
5.7. In case EDDs are deployed, are they subjected to initial and recurrent training, approval and quality control process to a standard equivalent to the EU or TSA requirements?
YES or NO
If YES, describe the entire process and the related documentation supporting the assessment
5.8. In case EDDs are used, is the screening process following a deployment methodology equivalent to EU or TSA standards?
YES or NO
If YES, describe the entire process and the related documentation supporting the assessment
5.9. Is the nature of the consignment taken into consideration during screening?
YES or NO
If YES, describe how it is ensured that the screening method selected is employed to a standard sufficient to reasonably ensure that no prohibited articles are concealed in the consignment.
5.10. Is there a process for the resolution of the alarm generated by the screening equipment? For some equipment, such as x-ray equipment, the alarm is triggered by the operator himself.
YES or NO
If YES, describe the process of resolving alarms to reasonably ensure the absence of prohibited articles.
If NO, describe what happens to the consignment
5.11. Are any consignments exempt from security screening?
YES or NO
5.12. Are there any exemptions that do not comply with the Union list?
YES or NO
If YES, detail
5.13. Is access to the screening area controlled to ensure that only authorised and trained staff are granted access?
YES or NO
If YES, describe
5.14. Is an established quality control and/or testing regime in place?
YES or NO
If YES, describe
5.15. Conclusion: Is air cargo or air mail screened by one of the means or methods listed in point 6.2.1 of the Annex to Implementing Regulation (EU) 2015/1998 to a standard sufficient to reasonably ensure that it contains no prohibited articles?
YES or NO
If NO, specify reason
Comments from the entity
Comments from the EU aviation security validator

PART 6 U.K. High Risk Cargo or Mail

Objective: Consignments which originate from or transfer in locations identified as high risk by the Union or which appear to have been significantly tampered with are to be considered as high risk cargo and mail (HRCM). Such consignments have to be screened in line with specific instructions. The RA3 shall have procedures in place to ensure that EU or EEA bound HRCM is identified and subject to appropriate controls as defined in the Union legislation.

The ACC3 to which the RA3 delivers air cargo or mail for transportation shall be authorised to inform the RA3 about the latest state of relevant information on high risk origins.

The RA3 shall apply the same measures, irrespective of whether it receives high risk cargo and mail from an air carrier or through other modes of transportation.

Reference: point 6.7 of the Annex to Implementing Regulation (EU) 2015/1998.

Note : HRCM cleared for carriage into the EU/EEA shall be issued the security status ‘SHR’, meaning secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements.

6.1. Do staff responsible for performing security controls know which air cargo and mail is to be treated as high risk cargo and mail (HRCM)?
YES or NO
If YES, describe
6.2. Does the entity have procedures in place for the identification of HRCM?
YES or NO
If YES, describe
6.3. Is HRCM subject to HRCM screening procedures according to Union legislation?
YES or NO
If NO, indicate procedures applied
6.4. After screening, does the entity issue a security status declaration for SHR in the documentation accompanying the consignment?
YES or NO
If YES, describe how security status is issued and in which document
6.5. Conclusion: Is the process put in place by the entity relevant and sufficient to ensure that all HRCM has been properly treated before loading?
YES or NO
If NO, specify reason
Comments from the entity
Comments from EU aviation security validator

PART 7 U.K. Protection of secured air cargo and mail

Objective: The RA3 shall have procedures in place to ensure EU or EEA bound air cargo and/or air mail is protected from unauthorised interference and/or any tampering from the point where security screening or other security controls are applied or from the point of acceptance after screening or security controls have been applied, until loading or transferring to an ACC3 or another RA3. If previously secured air cargo and mail is not protected afterwards, it may not be loaded or transferred to an ACC3 or another RA3 as secure cargo or mail.

Protection can be provided by different means such as physical (for example barriers, locked rooms), human (for example patrols, trained staff) and technological (for example CCTV, intrusion alarm).

EU or EEA bound secured air cargo or mail should be separated from air cargo or mail which is not secured.

Reference: point 6.8.3.1 of the Annex to Implementing Regulation (EU) 2015/1998.

7.1. Is protection of secured air cargo and air mail applied on behalf of the validated entity by another entity?
YES or NO
If YES, Specify the nature of these entities and provide details: private screening company; government regulated company; government screening facility or body; other
7.2. Are security controls and protection in place to prevent tampering during the screening process?
YES or NO
If YES, describe Specify what kind(s) of protection(s) are put in place: physical (for example fence, barrier, building of solid construction), human (for example patrols etc.), technological (for example CCTV, alarm system). Explain how they are organised.
7.3. Is the secure air cargo/air mail only accessible to authorised persons?
YES or NO
If YES, describe Specify how all access points (including doors and windows) to identifiable and secured air cargo or air mail are controlled.
7.4. Are there procedures in place to ensure EU or EEA bound air cargo or air mail to which security controls have been applied are protected from unauthorised interference from the time it has been secured until its loading or is transferred to an ACC3 or another RA3?
YES or NO
If YES, describe how it is protected (for example by physical, human, technological means) Specify also if the building is of solid construction and what kinds of materials are used, if available.
If NO, specify reasons
7.5. Conclusion: Is the protection of consignments sufficiently robust to prevent unlawful interference?
YES or NO
If NO, specify reason
Comments from the entity
Comments from EU aviation security validator

PART 8 U.K. Documentation

Objective: The RA3 shall ensure that the documentation accompanying a consignment to which the RA3 has applied security controls (such as screening, protection), contains at least:

(a)

the unique alphanumeric identifier received from the designating appropriate authority; and

(b)

the unique identifier of the consignment, such as the number of the (house or master) air waybill, when applicable; and

(c)

the content of the consignment; and

(d)

the security status, indicated as follows:

• ‘ SPX ’ , which means secure for passenger, all-cargo and all-mail aircraft, or

• ‘ SCO ’ , which means secure for all-cargo and all-mail aircraft only, or

• ‘ SHR ’ , which means secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements.

If the security status is issued by the RA3, the entity shall additionally indicate the reasons for issuing it, such as the means or method of screening used or the grounds for exempting the consignment from screening, using the standards adopted in the Consignment Security Declaration scheme.

The documentation accompanying the consignment may either be in the form of an air waybill, equivalent postal documentation or in a separate declaration, and either in an electronic format or in writing.

Reference: point (d) of point 6.3.2.6, points 6.8.3.4, 6.8.3.5 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998

8.1. Does the entity ensure that appropriate accompanying documentation is established, and include the information required in point (d) of point 6.3.2.6, points 6.8.3.4, 6.8.3.5 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998?
YES or NO
If NO, explain
8.2. In particular, does the entity specify the status of the cargo and how this was achieved?
YES or NO
If NO, explain
8.3. Conclusion: Is the documentation process sufficient to ensure that cargo or mail is provided with proper accompanying documentation which specifies the correct security status and all required information?
YES or NO
If NO, specify reason
Comments from the entity
Comments from EU aviation security validator

PART 9 U.K. Transportation

Objective: Air cargo and air mail must be protected from unauthorised interference or tampering from the time it has been secured until its loading or until it is transferred to an ACC3 or another RA3. This includes protection during transportation to the aircraft, to the ACC3 or to another RA3. If previously secured air cargo and mail is not protected during transportation, it may not be loaded or transferred to an ACC3 or another RA3 as secure cargo.

During transportation to an aircraft, an ACC3 or another RA3, the RA3 is responsible for the protection of the secure consignments. This includes cases where the transportation is undertaken by another entity, such as a freight forwarder, on its behalf. This does not include cases whereby the consignments are transported under the responsibility of an ACC3 or another RA3.

Reference: point 6.8.3 of the Annex to Implementing Regulation (EU) 2015/1998.

9.1. How is the air cargo or air mail conveyed to the ACC3 or to another RA3?
(a) Validated entity's own transport?
YES or NO
(b) Other RA3'sor ACC3's transport?
YES or NO
(c) Contractor used by the validated entity?
YES or NO
9.2. Is the air cargo or air mail tamper evidently packed?
YES or NO
If YES, how
9.3. Is the vehicle sealed or locked before transportation?
YES or NO
If YES, how
9.4. Where numbered seals are used, is access to the seals controlled and are the numbers recorded?
YES or NO
If YES, specify how
9.5. If applicable, does the respective haulier sign the haulier declaration?
YES or NO
9.6. Has the person transporting the cargo been subject to specific security controls and awareness training before being authorised to transport secured air cargo or air mail, or both?
YES or NO
If YES, please describe what kind of security controls (such as pre-employment check, background check) and what kind of training (such as security awareness training).
9.7. Conclusion: Are the measures sufficient to protect air cargo or air mail from unauthorised interference during transportation?
YES or NO
If NO, specify reasons
Comments from the entity
Comments from EU aviation security validator

PART 10 U.K. Compliance

Objective: After assessing Parts 1 to 9 of this checklist, the EU aviation security validator has to conclude if its on-site verification confirms the implementation of the security controls in compliance with the objectives listed in this checklist for the EU or EEA bound air cargo or air mail.

Two different scenarios are possible. The EU aviation security validator concludes that the entity:

1.

has succeeded in complying with the objectives referred to in this checklist. A validation report shall be delivered to the designating appropriate authority and to the validated entity within a maximum of one month after the on-site verification;

2.

has failed in complying with the objectives referred to in this checklist. In that case, the entity is not authorised to deliver secured air cargo or mail for EU or EEA destination to an ACC3 or to another RA3. It shall receive a copy of the completed checklist stating the deficiencies.

10.1. General conclusion: Indicate the case closest to the situation validated
1 or 2
Comments from EU aviation security validator
Comments from the entity

Name of the validator:

Date:

Signature:]

(1)

[F1 Commission Regulation (EC) No 272/2009 of 2 April 2009 supplementing the common basic standards on civil aviation security laid down in the Annex to Regulation (EC) No 300/2008 of the European Parliament and of the Council ( OJ L 91, 3.4.2009, p. 7 ).]

(2)

Commission Implementing Decision C(2015) 8005 final laying down detailed measures for the implementation of the common basic standards on aviation security containing information, as referred to in point (a) of Article 18 of Regulation (EC) No 300/2008, and repealing Decision (2010) 774 of 13 April 2010.

(3)

Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) No 2913/92 establishing the Community Customs Code (OJ L 253, 11.10.1993, p. 1).

(4)

Commission Regulation (EC) No 748/2009 of 5 August 2009 on the list of aircraft operators which performed an aviation activity listed in Annex I to Directive 2003/87/EC on or after 1 January 2006 specifying the administering Member State for each aircraft operator (OJ L 219, 22.8.2009, p. 1).

(5)

Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 (OJ L 97, 9.4.2008, p. 72).

(6)

Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 (OJ L 97, 9.4.2008, p. 72).

(7)

Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) No 2913/92 establishing the Community Customs Code (OJ L 253, 11.10.1993, p. 1).

(8)

[F1 The Union Member States: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden and the United Kingdom.]

(9)

[F1 EU or EEA bound air cargo or air mail or aircraft in this validation checklist is equivalent to the Union and Iceland, Norway and Switzerland bound air cargo or air mail or aircraft.]

Textual Amendments

F1 Substituted by Commission Implementing Regulation (EU) 2017/815 of 12 May 2017 amending Implementing Regulation (EU) 2015/1998 as regards clarification, harmonisation and simplification of certain specific aviation security measures (Text with EEA relevance).