ANNEX U.K.

6. CARGO AND MAIL U.K.

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)