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

11. STAFF RECRUITMENT AND TRAINING U.K.

11.0 GENERAL PROVISIONS U.K.

11.0.1 The authority, airport operator, air carrier or entity deploying persons implementing, or responsible for implementing, measures for which it is responsible in accordance with the national civil aviation security programme as referred to in Article 10 of Regulation (EC) No 300/2008 shall ensure that these persons meet the standards set out in this Chapter. U.K.

11.0.2 For the purpose of this Chapter, ‘certification’ means a formal evaluation and confirmation by or on behalf of the appropriate authority indicating that the person has successfully completed the relevant training and that the person possesses the necessary competencies to perform assigned functions to an acceptable level. U.K.

11.0.3 For the purposes of this Chapter, a ‘state of residence’ shall be any country in which the person has been resident continuously for 6 months or more and a ‘gap’ in the record of education or employment shall mean any gap of more than 28 days. U.K.

11.0.4 For the purposes of this Chapter, ‘competency’ means being able to demonstrate suitable knowledge and skills. U.K.

11.0.5 Competencies acquired by persons prior to recruitment may be taken into consideration when assessing any training needs under this Chapter. U.K.

11.0.6 Where relevant competencies required by this Regulation that are not specific to aviation security have been acquired through training not delivered by an instructor in line with point 11.5 of this Regulation and/or through courses not specified or approved by the appropriate authority, it may be taken into consideration when assessing any training needs under this Chapter. U.K.

11.0.7 Where a person has received training and acquired competencies listed in point 11.2, the training need not be repeated for another function other than for the purposes of recurrent training. U.K.

11.1 RECRUITMENT U.K.

11.1.1 Persons being recruited to implement, or to be responsible for the implementation of, screening, access control or other security controls in a security restricted area shall have successfully completed a background check. U.K.

[F1 11.1.2 Persons being recruited to implement, or to be responsible for the implementation of, screening, access control or other security controls elsewhere than a security restricted area shall have successfully completed a background check. U.K.

Persons having completed a pre-employment check shall undergo a background check by 30 June 2021 at the latest.]

Textual Amendments

F1 Substituted by Commission Implementing Regulation (EU) 2020/910 of 30 June 2020 amending Implementing Regulations (EU) 2015/1998, (EU) 2019/103 and (EU) 2019/1583 as regards the re-designation of airlines, operators and entities providing security controls for cargo and mail arriving from third countries, as well as the postponement of certain regulatory requirements in the area of cybersecurity, background check, explosive detection systems equipment standards, and explosive trace detection equipment, because of the COVID-19 pandemic (Text with EEA relevance).

11.1.3 In accordance with the applicable rules of F2 ... national law, a background check shall at least: U.K.

Textual Amendments

F2 Words in Annex point 11.1.3 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(2); 2020 c. 1, Sch. 5 para. 1(1)

(a)

establish the person's identity on the basis of documentary evidence; and

(b)

cover criminal records in all states of residence during at least the preceding 5 years; and

(c)

cover employment, education and any gaps during at least the preceding 5 years.

11.1.4 In accordance with the applicable rules of F3 ... national law, a pre-employment check shall: U.K.

Textual Amendments

F3 Words in Annex point 11.1.4 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(2); 2020 c. 1, Sch. 5 para. 1(1)

(a)

establish the person's identity on the basis of documentary evidence; and

(b)

cover employment, education and any gaps during at least the preceding 5 years; and

(c)

require the person to sign a declaration detailing any criminal history in all states of residence during at least the preceding 5 years.

11.1.5 F4 ... Background checks shall be repeated at regular intervals not exceeding five years. U.K.

Textual Amendments

F4 Words in Annex point 11.1.5 omitted (30.4.2022) by virtue of The Aviation Security (Amendment) Regulations 2022 (S.I. 2022/497), regs. 1(2), 2(3)

11.1.6 The recruitment process for all persons being recruited under points 11.1.1 and 11.1.2 shall include at least a written application and an interview stage designed to provide an initial assessment of abilities and aptitudes. U.K.

11.1.7 Persons being recruited to implement security controls shall have the mental and physical abilities and aptitudes required to carry out their designated tasks effectively and shall be made aware of the nature of these requirements at the outset of the recruitment process. U.K.

These abilities and aptitudes shall be assessed during the recruitment process and before completion of any probationary period.

11.1.8 Recruitment records, including results of any assessment tests, shall be kept for all persons recruited under points 11.1.1 and 11.1.2 for at least the duration of their contract. U.K.

11.2 TRAINING U.K.

11.2.1 General training obligations U.K.

11.2.1.1 Persons shall have successfully completed relevant training before being authorised to implement security controls unsupervised. U.K.

11.2.1.2 Training of persons performing tasks as listed in points 11.2.3.1 to 11.2.3.5 and point 11.2.4 shall include theoretical, practical and on- the-job training elements. U.K.

11.2.1.3 The content of courses shall be specified or approved by the appropriate authority before: U.K.

(a)

an instructor delivers any training required under Regulation (EC) No 300/2008 and its implementing acts; or

(b)

a computer based training course is used in order to meet the requirements of Regulation (EC) No 300/2008 and its implementing acts.

Computer based training may be used with or without the support of an instructor or coach.

11.2.1.4 Training records shall be kept for all persons trained for at least the duration of their contract. U.K.

11.2.2 Basic training U.K.

Basic training of persons performing tasks as listed in points 11.2.3.1, 11.2.3.4 and 11.2.3.5 as well as in points 11.2.4, 11.2.5 and 11.5 shall result in all of the following competencies:

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

knowledge of the legal framework for aviation security;

(c)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls;

(d)

knowledge of access control procedures;

(e)

[F5 knowledge of identification card systems in use;]

(f)

knowledge of procedures for challenging persons and of circumstances in which persons should be challenged or reported;

(g)

knowledge of reporting procedures;

(h)

ability to identify prohibited articles;

(i)

ability to respond appropriately to security related incidents;

(j)

knowledge of how human behaviour and responses can affect security performance;

(k)

ability to communicate clearly and confidently.

Textual Amendments

F5 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).

11.2.3 Job specific training for persons implementing security controls U.K.

11.2.3.1 Job specific training of persons implementing screening of persons, cabin baggage, items carried and hold baggage shall result in all of the following competencies: U.K.

(a)

understanding of the configuration of the screening checkpoint and the screening process;

(b)

knowledge of how prohibited articles may be concealed;

(c)

ability to respond appropriately to the detection of prohibited articles;

(d)

knowledge of the capabilities and limitations of security equipment or screening methods used;

(e)

knowledge of emergency response procedures.

In addition, where the designated tasks of the person concerned so require, training shall also result in the following competences:

(f)

interpersonal skills, in particular how to deal with cultural differences and with potentially disruptive passengers;

(g)

knowledge of hand searching techniques;

(h)

ability to carry out hand searches to a standard sufficient to reasonably ensure the detection of concealed prohibited articles;

(i)

knowledge of exemptions from screening and special security procedures;

(j)

ability to operate the security equipment used;

(k)

ability to correctly interpret images produced by security equipment; and

(l)

knowledge of protection requirements for hold baggage.

11.2.3.2 Training of persons implementing screening of cargo and mail shall result in all of the following competencies: U.K.

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

awareness of the relevant legal requirements;

(c)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls in the supply chain;

(d)

ability to identify prohibited articles;

(e)

ability to respond appropriately to the detection of prohibited articles;

(f)

knowledge of the capabilities and limitations of security equipment or screening methods used;

(g)

knowledge of how prohibited articles may be concealed;

(h)

knowledge of emergency response procedures;

(i)

knowledge of protection requirements for cargo and mail;

In addition, where the designated tasks of the person concerned so require, training shall also result in the following competences:

(j)

knowledge of screening requirements for cargo and mail, including exemptions and special security procedures;

(k)

knowledge of screening methods appropriate for different types of cargo and mail;

(l)

knowledge of hand searching techniques;

(m)

ability to carry out hand searches to a standard sufficient to reasonably ensure the detection of concealed prohibited articles;

(n)

ability to operate the security equipment used;

(o)

ability to correctly interpret images produced by security equipment;

(p)

knowledge of transportation requirements.

11.2.3.3 Training of persons implementing screening of air carrier mail and materials, in-flight supplies and airport supplies shall result in all of the following competencies: U.K.

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

awareness of the relevant legal requirements;

(c)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls in the supply chain;

(d)

ability to identify prohibited articles;

(e)

ability to respond appropriately to the detection of prohibited articles;

(f)

knowledge of how prohibited articles may be concealed;

(g)

knowledge of emergency response procedures;

(h)

knowledge of the capabilities and limitations of security equipment or screening methods used;

In addition, where the designated tasks of the person concerned so require, training shall also result in the following competences:

(i)

knowledge of hand searching techniques;

(j)

ability to carry out hand searches to a standard sufficient to reasonably ensure the detection of concealed prohibited articles;

(k)

ability to operate the security equipment used;

(l)

ability to correctly interpret images produced by security equipment;

(m)

knowledge of transportation requirements.

11.2.3.4 Specific training of persons performing vehicle examinations shall result in all of the following competencies: U.K.

(a)

knowledge of the legal requirements for vehicle examinations, including exemptions and special security procedures;

(b)

ability to respond appropriately to the detection of prohibited articles;

(c)

knowledge of how prohibited articles may be concealed;

(d)

knowledge of emergency response procedures;

(e)

knowledge of vehicle examination techniques;

(f)

ability to carry out vehicle examinations to a standard sufficient to reasonably ensure the detection of concealed prohibited articles.

11.2.3.5 Specific training of persons implementing access control at an airport as well as surveillance and patrols shall result in all of the following competencies: U.K.

(a)

knowledge of the legal requirements for access control, including exemptions and special security procedures;

(b)

knowledge of access control systems used at the airport;

(c)

knowledge of authorisations, including identification cards and vehicle passes, providing access to airside areas and ability to identify those authorisations;

(d)

knowledge of procedures for patrolling and for challenging persons and of circumstances in which persons should be challenged or reported:

(e)

ability to respond appropriately to the detection of prohibited articles;

(f)

knowledge of emergency response procedures;

(g)

interpersonal skills, in particular how to deal with cultural differences and with potentially disruptive passengers.

11.2.3.6 Training of persons implementing aircraft security searches shall result in all of the following competencies: U.K.

(a)

knowledge of the legal requirements for aircraft security searches;

(b)

knowledge of the configuration of the type(s) of aircraft on which the person is to implement aircraft security searches;

(c)

ability to identify prohibited articles;

(d)

ability to respond appropriately to the detection of prohibited articles;

(e)

knowledge of how prohibited articles may be concealed;

(f)

ability to implement aircraft security searches to a standard sufficient to reasonably ensure the detection of concealed prohibited articles.

In addition, where the person holds an airport identification card, training shall also result in all of the following competences:

(g)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(h)

knowledge of the legal framework for aviation security;

(i)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls;

(j)

understanding of the configuration of the screening checkpoint and the screening process;

(k)

awareness of access control and relevant screening procedures;

(l)

knowledge of airport identification card used at the airport.

11.2.3.7 Training of persons implementing aircraft protection shall result in all of the following competencies: U.K.

(a)

knowledge of how to protect and prevent unauthorised access to aircraft;

(b)

knowledge of procedures for sealing aircraft, if applicable for the person to be trained;

(c)

knowledge of identification card systems used at the airport;

(d)

knowledge of procedures for challenging persons and of circumstances in which persons should be challenged or reported; and

(e)

knowledge of emergency response procedures.

In addition, where the person holds an airport identification card, training shall also result in all of the following competences:

(f)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(g)

knowledge of the legal framework for aviation security;

(h)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls;

(i)

understanding of the configuration of the screening checkpoint and the screening process;

(j)

awareness of access control and relevant screening procedures.

11.2.3.8 Training of persons implementing baggage reconciliation shall result in all of the following competencies: U.K.

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

awareness of the relevant legal requirements;

(c)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls;

(d)

ability to respond appropriately to the detection of prohibited articles;

(e)

knowledge of emergency response procedures;

(f)

knowledge of passenger and baggage reconciliation requirements and techniques;

(g)

knowledge of protection requirements for air carrier materials used for passenger and baggage processing.

[F6 In addition, where the person holds an airport identification card, training shall also result in all of the following competences:

Textual Amendments

F6 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).

(h)

understanding of the configuration of the screening checkpoint and the screening process;

(i)

awareness of access control and relevant screening procedures;

(j)

knowledge of airport identification cards used at the airport;

(k)

knowledge of reporting procedures;

(l)

ability to respond appropriately to security related incidents.]

11.2.3.9 Training of persons implementing security controls for cargo and mail other than screening shall result in all of the following competencies: U.K.

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

awareness of the relevant legal requirements;

(c)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls in the supply chain;

(d)

knowledge of procedures for challenging persons and of circumstances in which persons should be challenged or reported;

(e)

knowledge of reporting procedures;

(f)

ability to identify prohibited articles;

(g)

ability to respond appropriately to the detection of prohibited articles;

(h)

knowledge of how prohibited articles may be concealed;

(i)

knowledge of protection requirements for cargo and mail;

(j)

knowledge of transportation requirements, if applicable.

[F6 In addition, where the person holds an airport identification card, training shall also result in all of the following competences:

(k)

understanding of the configuration of the screening checkpoint and the screening process;

(l)

awareness of access control and relevant screening procedures;

(m)

knowledge of identification cards in use;

(n)

ability to respond appropriately to security related incidents.]

11.2.3.10 Training of persons implementing security controls for air carrier mail and materials, in-flight supplies and airport supplies other than screening shall result in all of the following competencies: U.K.

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

awareness of the relevant legal requirements;

(c)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls;

(d)

knowledge of procedures for challenging persons and of circumstances in which persons should be challenged or reported;

(e)

knowledge of reporting procedures;

(f)

ability to identify prohibited articles;

(g)

ability to respond appropriately to the detection of prohibited articles;

(h)

knowledge of how prohibited articles may be concealed;

(i)

knowledge of protection requirements for air carrier mail and materials, in-flight supplies and airport supplies, as applicable;

(j)

knowledge of transportation requirements, if applicable.

[F6 In addition, where the person holds an airport identification card, training shall also result in all of the following competences:

(k)

understanding of the configuration of the screening checkpoint and the screening process;

(l)

awareness of access control and relevant screening procedures;

(m)

knowledge of identification cards in use;

(n)

ability to respond appropriately to security related incidents.]

11.2.4 Specific training for persons directly supervising persons implementing security controls (supervisors) U.K.

Specific training of supervisors shall, in addition to the competencies of the persons to be supervised, result in all of the following competencies:

(a)

knowledge of the relevant legal requirements and how they should be met;

(b)

knowledge of supervisory tasks;

(c)

knowledge of internal quality control;

(d)

ability to respond appropriately to the detection of prohibited articles;

(e)

knowledge of emergency response procedures;

(f)

ability to provide mentoring and on-the-job training and to motivate other.

In addition, where the designated tasks of the person concerned so require, that training shall also result in all of the following competences:

(g)

knowledge of conflict management;

(h)

knowledge of the capabilities and limitations of security equipment or screening methods used.

11.2.5 Specific training for persons with general responsibility at national or local level for ensuring that a security programme and its implementation meet all legal provisions (security managers) U.K.

Specific training of security managers shall result in all of the following competencies:

(a)

knowledge of the relevant legal requirements and how they should be met;

(b)

knowledge of internal, national F7 ... and international quality control;

(c)

ability to motivate others;

(d)

knowledge of the capabilities and limitations of security equipment or screening methods used.

Textual Amendments

F7 Word in Annex point 11.2.5(b) omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(3); 2020 c. 1, Sch. 5 para. 1(1)

11.2.6 Training of persons other than passengers requiring unescorted access to security restricted areas U.K.

11.2.6.1 Persons other than passengers requiring unescorted access to security restricted areas and not falling under points 11.2.3 to 11.2.5 and 11.5 shall receive security awareness training before being issued with an authorisation granting unescorted access to security restricted areas. U.K.

For objective reasons, the appropriate authority may exempt persons from this training requirement if their access is limited to areas in the terminal accessible to passengers.

11.2.6.2 Security awareness training shall result in all of the following competencies: U.K.

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

awareness of the relevant legal requirements;

(c)

knowledge of the objectives and organisation of aviation security, including the obligations and responsibilities of persons implementing security controls;

(d)

understanding of the configuration of the screening checkpoint and the screening process;

(e)

awareness of access control and relevant screening procedures;

(f)

knowledge of airport identification cards used at the airport;

(g)

knowledge of reporting procedures;

(h)

ability to respond appropriately to security related incidents.

11.2.6.3 Each person undergoing security awareness training shall be required to demonstrate understanding of all subjects referred to in point 11.2.6.2 before being issued with an authorisation granting unescorted access to security restricted areas. U.K.

11.2.7 Training of persons requiring general security awareness U.K.

General security awareness training shall result in all of the following competencies:

(a)

knowledge of previous acts of unlawful interference with civil aviation, terrorist acts and current threats;

(b)

awareness of the relevant legal requirements;

(c)

knowledge of the objectives and organisation of aviation security in their working environment, including the obligations and responsibilities of persons implementing security controls;

(d)

knowledge of reporting procedures;

(e)

ability to respond appropriately to security related incidents.

Each person undergoing general security awareness training shall be required to demonstrate understanding of all subjects referred to in this point before taking up duty.

This training shall not apply to instructors falling under point 11.5.

11.3 CERTIFICATION OR APPROVAL U.K.

11.3.1 Persons performing tasks as listed in points 11.2.3.1 to 11.2.3.5 shall be subject to: U.K.

(a)

an initial certification or approval process; and

(b)

[F8 for persons operating x-ray or EDS equipment, recertification at least every 3 years; and]

(c)

for all other persons, recertification or reapproval at least every 5 years.

Textual Amendments

F8 Substituted by Commission Implementing Regulation (EU) 2019/103 of 23 January 2019 amending Implementing Regulation (EU) 2015/1998 as regards clarification, harmonisation and simplification as well as strengthening of certain specific aviation security measures (Text with EEA relevance).

Persons performing tasks as listed in point 11.2.3.3 may be exempted from these requirements if they are only authorised to implement visual checks and/or hand searches.

[F8 11.3.2 Persons operating x-ray or EDS equipment shall, as part of the initial certification or approval process, pass a standardised image interpretation test.] U.K.

[F8 11.3.3 The recertification or re-approval process for persons operating x-ray or EDS equipment shall include both the standardised image interpretation test and an evaluation of operational performance.] U.K.

11.3.4 Failure to undertake or successfully complete recertification or reapproval within a reasonable timescale, not normally exceeding 3 months, shall result in the related security entitlements being withdrawn. U.K.

11.3.5 Certification or approval records shall be kept for all persons certified or approved, respectively, for at least the duration of their contract. U.K.

11.4 RECURRENT TRAINING U.K.

11.4.1 Persons operating x-ray or EDS equipment shall be subject to recurrent training consisting of image recognition training and testing. This shall take the form of: U.K.

(a)

classroom and/or computer based training; or

(b)

on-the-job TIP training, on condition that a TIP library of at least 6 000 images, as specified below, is employed on the x-ray or EDS equipment used and the person works with this equipment during at least one third of his working hours.

F9 ...

Textual Amendments

F9 Deleted by Commission Implementing Regulation (EU) 2019/103 of 23 January 2019 amending Implementing Regulation (EU) 2015/1998 as regards clarification, harmonisation and simplification as well as strengthening of certain specific aviation security measures (Text with EEA relevance).

For classroom and/or computer based training, persons shall be subject to image recognition training and testing for at least 6 hours in every 6 month period, using either:

• an image library containing at least 1 000 images of at least 250 different threat articles, including images of component parts of threat articles, with each article captured in a variety of different orientations, and arranged to provide an unpredictable selection of images from the library during the training and testing; or

• the most frequently missed TIP images from the TIP library in use combined with images of recently captured threat articles relevant for the type of screening operation and covering all types of relevant threat articles if only used once for the training of a given screener over a three-year period.

For on-the-job TIP training, the TIP library shall consist of at least 6 000 images of at least 1 500 different threat articles, including images of component parts of threat articles, with each article captured in a variety of different orientations.

[F8 11.4.2 Evaluation of the performance of individual screeners shall be carried out at the end of every 6 month period. The results of this evaluation: U.K.

(a)

shall be provided to the person and recorded;

(b)

shall be used to identify weaknesses and inform future training and testing adapted to address those weaknesses; and

(c)

may be taken into consideration as part of the recertification or re-approval process.]

11.4.3 Persons performing tasks as listed under point 11.2 other than those referred to in point 11.4.1 and 11.4.2 shall undergo recurrent training at a frequency sufficient to ensure that competencies are maintained and acquired in line with security developments. U.K.

Recurrent training shall be conducted:

(a)

for competencies acquired during initial basic, specific and security awareness training, at least once every 5 years or, in cases where the competencies have not been exercised for more than 6 months, before return to security duties; and

(b)

for new or extended competencies, as required to ensure that persons implementing, or responsible for implementing, security controls are promptly made aware of new threats and legal requirements by the time they have to be applied.

The requirements under (a) shall not apply to competencies acquired during specific training which are no longer required for the person's designated tasks.

11.4.4 Records of recurrent training shall be kept for all persons trained for at least the duration of their contract. U.K.

11.5 QUALIFICATION OF INSTRUCTORS U.K.

11.5.1 Instructors shall at least fulfil all of the following requirements: U.K.

(a)

the successful completion of a background check in accordance with [F10 point 11.1.3];

(b)

competency in instructional techniques;

(c)

knowledge of the work environment in the relevant aviation security field;

(d)

competency in the security elements to be taught.

Textual Amendments

F10 Words in Annex point 11.5.1 substituted (30.4.2022) by The Aviation Security (Amendment) Regulations 2022 (S.I. 2022/497), regs. 1(2), 2(4)

Certification shall at least apply to those instructors authorised to give training defined in points 11.2.3.1 to 11.2.3.5 and in points 11.2.4 (unless it concerns the training of supervisors exclusively supervising persons referred to in points 11.2.3.6 to 11.2.3.10) and 11.2.5.

[F6 Instructors shall be subject to recertification at least every 5 years.]

11.5.2 Instructors shall receive regular training or information on developments in the relevant fields. U.K.

11.5.3 The appropriate authority shall maintain or have access to lists of instructors operating in the [F11 United Kingdom]. U.K.

Textual Amendments

F11 Words in Annex point 11.5.3 substituted (31.12.2020) by The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(4); 2020 c. 1, Sch. 5 para. 1(1)

11.5.4 If the appropriate authority is no longer satisfied that training delivered by an instructor is resulting in persons having the relevant competencies, or where the instructor fails the background check, it shall either withdraw approval of the course or ensure that the instructor is suspended or removed from the list of instructors, as appropriate. Where such action is taken, the appropriate authority shall also specify how the instructor may apply to have the suspension lifted, be reinstated on the list of instructors or have the course approval reinstated. U.K.

F12 11.5.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F12 Annex point 11.5.5 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(5); 2020 c. 1, Sch. 5 para. 1(1)

11.6 F13 ... AVIATION SECURITY VALIDATION U.K.

11.6.1 F14 ... Aviation security validation is a standardised, documented, impartial and objective process for obtaining and evaluating evidence to determine the level of compliance of the validated entity with requirements set out in Regulation (EC) No 300/2008 and its implementing acts. U.K.

Textual Amendments

F14 Word in Annex point 11.6.1 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(6); 2020 c. 1, Sch. 5 para. 1(1)

11.6.2 F15 ... Aviation security validation U.K.

F15 ... Aviation security validation:

(a)

may be a requirement for obtaining or maintaining a legal status under Regulation (EC) No 300/2008 and its implementing acts;

(b)

may be performed by an appropriate authority or a validator approved as F15 ... aviation security validator or a validator recognised as equivalent to it, in accordance with this Chapter;

(c)

shall assess security measures applied under the responsibility of the validated entity or parts thereof for which the entity seeks validation. At least, it shall consist of:

(1)

an evaluation of security relevant documentation, including the validated entity's security programme or equivalent; and

(2)

a verification of the implementation of aviation security measures, which shall include an on-site verification of the validated entity's relevant operations, unless otherwise stated;

(d)

F16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F16 Annex point 11.6.2(d) omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(7)(b); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F15 Word in Annex point 11.6.2 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(7)(a); 2020 c. 1, Sch. 5 para. 1(1)

11.6.3 Approval requirements for F17 ... aviation security validators U.K.

11.6.3.1 [F18 The appropriate authority] shall approve F19 ... aviation security validators based on conformity assessment capacity, which shall comprise: U.K.

Textual Amendments

F18 Words in Annex point 11.6.3.1 substituted (31.12.2020) by The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(9)(a); 2020 c. 1, Sch. 5 para. 1(1)

F19 Word in Annex point 11.6.3.1 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(9)(b); 2020 c. 1, Sch. 5 para. 1(1)

(a)

independence from the validated industry, unless otherwise stated; and

(b)

appropriate personnel competence in the security area to be validated as well as methods to maintain such competence at the level referred to in 11.6.3.5; and

(c)

the functionality and appropriateness of validation processes.

F20 11.6.3.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F20 Annex point 11.6.3.2 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(10); 2020 c. 1, Sch. 5 para. 1(1)

11.6.3.3 An F21 ... aviation security validator may be any individual or a legal entity. U.K.

Textual Amendments

F21 Word in Annex point 11.6.3.3 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(11); 2020 c. 1, Sch. 5 para. 1(1)

F22 11.6.3.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F22 Annex point 11.6.3.4 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(12); 2020 c. 1, Sch. 5 para. 1(1)

11.6.3.5 Every individual performing F23 ... aviation security validation shall have appropriate competence and background, and shall meet all of the following requirements: U.K.

Textual Amendments

F23 Word in Annex point 11.6.3.5 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(13)(a); 2020 c. 1, Sch. 5 para. 1(1)

(a)

have been subject to a background check in accordance with 11.1.3 that shall be recurrent at least every five years;

(b)

perform F23 ... aviation security validation impartially and objectively, shall understand the meaning of independence and apply methods to avoid situations of conflict of interest in respect of the validated entity;

(c)

have sufficient theoretical knowledge and practical experience in the field of quality control as well as respective skills and personal attributes to collect, record and assess findings based on a checklist, in particular regarding:

(1)

compliance monitoring principles, procedures and techniques;

(2)

factors affecting human performance and supervision;

(3)

the role and powers of the validator, including on conflict of interest;

(d)

provide proof of appropriate competence based on training and/or a minimum work experience in respect of the following areas:

(1)

general aviation security principles of F24 ... ICAO aviation security standards;

(2)

specific standards related to the activity validated and how they are applied to operations;

(3)

security technologies and techniques relevant for the validation process;

(e)

undergo recurrent training at a frequency sufficient to ensure that existing competencies are maintained and new competencies are acquired to take account of developments in the field of aviation security.

Textual Amendments

F24 Words in Annex point 11.6.3.5(d)(1) omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(13)(b); 2020 c. 1, Sch. 5 para. 1(1)

11.6.3.6 The appropriate authority shall either itself provide training for EU aviation security validator or approve and maintain a list of appropriate security training courses. U.K.

F25 11.6.3.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F25 Annex point 11.6.3.7 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(14); 2020 c. 1, Sch. 5 para. 1(1)

11.6.3.8 The approval of an F26 ... aviation security validator shall expire after a maximum period of five years. U.K.

Textual Amendments

F26 Word in Annex point 11.6.3.8 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(15); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F17 Word in Annex point 11.6.3 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(8); 2020 c. 1, Sch. 5 para. 1(1)

11.6.4 Recognition and discontinuation of F27 ... aviation security validators U.K.

11.6.4.1 An F28 ... aviation security validator shall not be considered as approved until its details are [F29 recorded by the appropriate authority]. Every F28 ... aviation security validator shall be provided with proof of its status by or on behalf of the appropriate authority. F30 ... U.K.

Textual Amendments

F28 Word in Annex point 11.6.4.1 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(16)(a); 2020 c. 1, Sch. 5 para. 1(1)

F29 Words in Annex point 11.6.4.1 substituted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(16)(b); 2020 c. 1, Sch. 5 para. 1(1)

F30 Words in Annex point 11.6.4.1 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(16)(c); 2020 c. 1, Sch. 5 para. 1(1)

F31 11.6.4.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F31 Annex point 11.6.4.2 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(17); 2020 c. 1, Sch. 5 para. 1(1)

[F5 11.6.4.3 When [F32 the appropriate authority] is no longer satisfied that an F33 ... aviation security validator meets the requirements referred to in points 11.6.3.1 or 11.6.3.5, it shall withdraw the approval and remove the validator from the [F34 its record].] U.K.

Textual Amendments

F32 Words in Annex point 11.6.4.3 substituted (31.12.2020) by The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(18)(a); 2020 c. 1, Sch. 5 para. 1(1)

F33 Word in Annex point 11.6.4.3 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(18)(b); 2020 c. 1, Sch. 5 para. 1(1)

F34 Words in Annex point 11.6.4.3 substituted (31.12.2020) by The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(18)(c); 2020 c. 1, Sch. 5 para. 1(1)

11.6.4.4 Industry associations and entities under their responsibility operating quality assurance programmes may be approved as F35 ... aviation security validators provided equivalent measures of those programmes ensure impartial and objective validation. F36 ... U.K.

Textual Amendments

F35 Word in Annex point 11.6.4.4 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(19)(a); 2020 c. 1, Sch. 5 para. 1(1)

F36 Words in Annex point 11.6.4.4 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(19)(b); 2020 c. 1, Sch. 5 para. 1(1)

F37 11.6.4.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F37 Annex point 11.6.4.5 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(20); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F27 Word in Annex point 11.6.4 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(15); 2020 c. 1, Sch. 5 para. 1(1)

11.6.5 F38 ... Aviation security validation report (‘the validation report’) U.K.

11.6.5.1 [F39 A validation report, where required,] shall record the F40 ... aviation security validation and contain at least: U.K.

Textual Amendments

F39 Words in Annex point 11.6.5.1 substituted (31.12.2020) by The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(22)(a); 2020 c. 1, Sch. 5 para. 1(1)

F40 Word in Annex point 11.6.5.1 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(22)(b); 2020 c. 1, Sch. 5 para. 1(1)

(a)

a completed checklist signed by the F40 ... aviation security validator including, where requested, comments by the validated entity in the necessary detail; and

(b)

a declaration of commitments signed by the validated entity; and

(c)

an independence declaration in respect of the entity validated signed by the individual performing the F40 ... aviation security validation.

11.6.5.2 The F41 ... aviation security validator shall establish the level of compliance with the objectives contained in the checklist and record these findings in the appropriate part of the checklist. U.K.

Textual Amendments

F41 Word in Annex point 11.6.5.2 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(23); 2020 c. 1, Sch. 5 para. 1(1)

11.6.5.3 A declaration of commitment shall state the validated entity's commitment to continue operation under the successfully validated operation standards. U.K.

11.6.5.4 The validated entity may declare its agreement or disagreement to the validation report's established compliance level. Such a declaration shall become an integral part of the validation report. U.K.

11.6.5.5 Page numbering, date of the F42 ... aviation security validation and initialling by the validator and the validated entity on each page shall prove the validation report's integrity. [F43 Manual initialling on each page may be replaced by an electronic signature of the entire document.] U.K.

Textual Amendments

F42 Word in Annex point 11.6.5.5 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(23); 2020 c. 1, Sch. 5 para. 1(1)

F43 Inserted by Commission Implementing Regulation (EU) 2019/103 of 23 January 2019 amending Implementing Regulation (EU) 2015/1998 as regards clarification, harmonisation and simplification as well as strengthening of certain specific aviation security measures (Text with EEA relevance).

11.6.5.6 By default the report shall be in English and delivered to the appropriate authority, where applicable, along with the validated entity within a maximum of one month after the on-site verification. U.K.

Textual Amendments

F38 Word in Annex point 11.6.5 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(21); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F13 Word in Annex point 11.6 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(6); 2020 c. 1, Sch. 5 para. 1(1)

F44 11.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

F45 11.7.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F45 Annex point 11.7.1 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(24); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F44 Annex point 11.7 omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(24); 2020 c. 1, Sch. 5 para. 1(1)

[F5 ATTACHMENT 11-A INDEPENDENCE DECLARATION — F46 ... AVIATION SECURITY VALIDATOR U.K.

(a)

I confirm that I have established the level of compliance of the validated entity in an impartial and objective way.

(b)

I confirm that I am not, and have not in the preceding two years, been employed by the validated entity.

(c)

I confirm that I have no economic or other direct or indirect interest in the outcome of the validation activity, the validated entity or its affiliates.

(d)

I confirm that I have, and have had in the preceding 12 months no business relations such as training and consultancy beyond the validation process with the validated entity in areas related to aviation security.

(e)

I confirm that the F46 ... aviation security validation report is based on a thorough fact finding evaluation of relevant security documentation, consisting of:

• the validated entities' security programme or equivalent, and

• an on- site verification of the implementation thereof.

(f)

I confirm that the F46 ... aviation security validation report is based on an assessment of all security relevant areas on which the validator is required to give an opinion based on the relevant F46 ... checklist.

(g)

I confirm that I have applied a methodology that allows for separate F46 ... aviation security validation reports in respect of each entity validated and ensures objectivity and impartiality of the fact finding and evaluation, where several entities are being validated in a joint action.

(h)

I confirm that I accepted no financial or other benefits, other than a reasonable fee for the validation and a compensation of travel and accommodation costs.

I accept full responsibility for the F46 ... aviation security validation report.

Name of the validated entity:

Name of the F46 ... aviation security validator:

Date:

Signature:]

Textual Amendments

F46 Word in Annex Ch. 11 Attachment 11-A omitted (31.12.2020) by virtue of The Aviation Security (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/547), regs. 1, 124(25); 2020 c. 1, Sch. 5 para. 1(1)