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

11.6 EU AVIATION SECURITY VALIDATION U.K.

11.6.1 EU 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.

11.6.2 EU aviation security validation U.K.

EU 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 EU 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)

shall be recognised by all Member States.

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

11.6.3.1 Member States shall approve EU aviation security validators based on conformity assessment capacity, which shall comprise: U.K.

(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.

11.6.3.2 Where relevant, the approval shall take account of accreditation certificates in relation to the relevant harmonised standards, namely with EN-ISO/IEC 17020 instead of re-assessing conformity assessment capacity. U.K.

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

11.6.3.4 The national accreditation body established pursuant to Regulation (EC) No 765/2008 of the European Parliament and of the Council(1) may be empowered to accredit the conformity assessment capacity of legal entities to perform EU aviation security validation, adopt administrative measures in that respect and carry out the surveillance of EU aviation security validation activities. U.K.

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

(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 EU 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 Union and 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.

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.

11.6.3.7 Member States may limit the approval of an EU aviation security validator to validation activities which are carried out solely on the territory of that Member State on behalf of the appropriate authority of that Member State. In such cases, the requirements of point 11.6.4.2 do not apply. U.K.

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

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

11.6.4.1 An EU aviation security validator shall not be considered as approved until its details are listed in the ‘Union database on supply chain security’. Every EU aviation security validator shall be provided with proof of its status by or on behalf of the appropriate authority. For the period the Union database on supply chain security cannot accommodate entries with regard to EU aviation security validators, the appropriate authority shall communicate the necessary details of the EU aviation security validator to the Commission which shall make them available to all Member States. U.K.

11.6.4.2 Approved EU aviation security validators shall be recognised by all Member States. U.K.

[F1 11.6.4.3 When a Member State is no longer satisfied that an EU 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 Union database on supply chain security, or inform the appropriate authority that approved it, sharing the basis for its concern.] 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).

11.6.4.4 Industry associations and entities under their responsibility operating quality assurance programmes may be approved as EU aviation security validators provided equivalent measures of those programmes ensure impartial and objective validation. Recognition shall be done in cooperation of the appropriate authorities of at least two Member States. U.K.

11.6.4.5 The Commission may recognise validation activities undertaken by authorities or aviation security validators under the jurisdiction of and recognised by a third country or an international organisation where it can confirm their equivalency to EU aviation security validation. A list thereof shall be kept in Attachment 6-Fiii. U.K.

11.6.5 EU aviation security validation report (‘the validation report’) U.K.

11.6.5.1 The validation report shall record the EU aviation security validation and contain at least: U.K.

(a)

a completed checklist signed by the EU 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 EU aviation security validation.

11.6.5.2 The EU 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.

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 EU aviation security validation and initialling by the validator and the validated entity on each page shall prove the validation report's integrity. [F2 Manual initialling on each page may be replaced by an electronic signature of the entire document.] U.K.

Textual Amendments

F2 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.

(1)

Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 (OJ L 218, 13.8.2008, p. 30).