(1)

“annual traffic volume” means the total number of passengers arriving, departing and in transit (counted once);

(2)

“appropriate authority” means the national authority designated by a Member State pursuant to Article 9 to be responsible for the coordination and monitoring of the implementation of its national civil aviation security programme;

(3)

“auditor” means any person conducting national compliance monitoring activities on behalf of the appropriate authority;

(4)

“certification” means a formal evaluation and confirmation by or on behalf of the appropriate authority that a person possesses the necessary competencies to perform the functions of an auditor to an acceptable level as defined by the appropriate authority;

(5)

“compliance monitoring activities” means any procedure or process used for assessing the implementation of this Regulation and the national aviation security programme;

(6)

“deficiency” means a failure to comply with an aviation security requirement;

(7)

“inspection” means an examination of the implementation of security measures and procedures in order to determine whether they are being carried out effectively and to the required standard and to identify any deficiencies;

(8)

“interview” means an oral check by an auditor to establish whether specific security measures or procedures are implemented;

(9)

“observation” means a visual check by an auditor that a security measure or procedure is implemented;

(10)

“overt test” means an announced exercise with screeners or other security personnel concerned which realistically simulates the performance of a security control or an act of unlawful interference for the purpose of examining or measuring elements such as the effectiveness of the implementation of existing security measures, competences and capabilities of that personnel to perform assigned functions;

(11)

“relevant authorities” means, for the purposes of Chapter 19, the appropriate authority or any other national authority having responsibilities for the reporting of aviation security occurrences, incidents, acts of unlawful interference and preparatory acts thereto;

(12)

“reporter” means any legal or natural person who reports a security occurrence, incident, act of unlawful interference, a preparatory act or other security-related information pursuant to the mandatory or voluntary reporting process established by Member States;

(13)

“representative sample” means a selection made from amongst possible options for monitoring which is sufficient in number and range to provide a basis for general conclusions on implementing standards;

(14)

“security audit” means an in-depth examination of security measures and procedures in order to determine if they are being fully implemented on a continual basis;

(15)

“security incident” means a security occurrence which affects or could affect the safety of passengers, crew, ground personnel and the general public;

(16)

“security occurrence” means any security-related event that may result in a reduced security outcome, may increase the operational risks or that endangers the safety of passengers, crew, ground personnel and the general public, or is a potential compliance breach. This includes the identification or observation of a vulnerability in the protection of civil aviation against acts of unlawful interference;

(17)

“test” means a trial of aviation security measures, where the appropriate authority simulates intent to commit an act of unlawful interference for the purpose of examining the effectiveness of the implementation of existing security measures;

(18)

“verification” means an action taken by an auditor to establish whether a specific security measure is actually in place;

(19)

“vulnerability” means any weakness in the implemented measures and procedures which could be exploited to carry out an act of unlawful interference.

(a)

advice and recommendations in writing;

(b)

formal warning in writing;

(c)

official enforcement notice;

(d)

administrative sanctions and legal proceedings.

(a)

organisational structure, responsibilities and resources;

(b)

job descriptions of, and qualifications required for auditors;

(c)

compliance monitoring activities, including scope of security audits, inspections, tests and, following an actual or potential breach of security, investigations, frequencies for security audits and inspections and also classification of compliance;

(d)

surveys, where there is cause to reassess security needs;

(e)

deficiency correction activities providing details concerning deficiency reporting, follow-up and correction in order to ensure compliance with aviation security requirements;

(f)

enforcement measures and, where appropriate, penalties, as specified in points 2.1 and 2.3 of this Annex;

(g)

reporting of compliance monitoring activities carried out including, where appropriate, information exchange between national bodies on compliance levels;

(h)

monitoring process of the airport, operator and entity internal quality control measures;

(i)

a process to record and analyse the results of the national quality control programme to identify trends and steer future policy development;

(j)

a process for the mandatory reporting of information concerning aviation security incidents, acts of unlawful interference and preparatory acts thereto, by any operator and entity responsible for the implementation of the national civil aviation security programme in a practical and timely manner to the relevant authorities;

(k)

a confidential, voluntary reporting system for analysing security information provided by sources such as the public, passengers, staff, crew, ground personnel and any other person in the aviation sector.

(a)

all security measures at an airport; or

(b)

all security measures implemented by an individual airport, terminal of an airport, operator or entity; or

(c)

a particular part of the national civil aviation security programme.

(a)

announcement of the security audit and communication of a pre-audit questionnaire, if appropriate;

(b)

preparation phase including examination of the completed pre-audit questionnaire and other relevant documentation;

(c)

entry briefing with airport/operator/entity representatives prior to beginning the monitoring activity on site;

(d)

on-site activity;

(e)

debriefing and reporting;

(f)

where deficiencies are identified, the correction process and the associated monitoring of that process.

(a)

examination of documents;

(b)

observations;

(c)

interviews;

(d)

verifications.

(a)

preparation phase;

(b)

on-site activity;

(c)

a debrief, depending on the frequency and the results of the monitoring activities;

(d)

reporting/recording;

(e)

correction process and its monitoring.

(a)

examination of documents;

(b)

observations;

(c)

interviews;

(d)

verifications.

(a)

access control to security restricted areas;

(b)

screening of persons other than passengers and items carried;

(c)

aircraft protection;

(d)

screening of passengers and cabin baggage;

(e)

protection of hold baggage;

(f)

screening of cargo or mail;

(g)

protection of cargo and mail.

(a)

examination of vehicles;

(b)

aircraft security search;

(c)

screening of hold baggage;

(d)

screening of in-flight and airport supplies;

(e)

protection of in-flight and airport supplies;

(f)

protection of facilities and airport perimeter.

(a)

preparation phase;

(b)

on-site activity;

(c)

a debrief, depending on the frequency and the results of the monitoring activities;

(d)

reporting/recording;

(e)

correction process and the associated monitoring.

(a)

type of activity;

(b)

airport, operator or entity monitored;

(c)

date and time of the activity;

(d)

name of the auditors conducting the activity;

(e)

scope of the activity;

(f)

findings with the corresponding provisions of the national civil aviation security programme;

(g)

classification of compliance;

(h)

recommendations for remedial actions, where appropriate;

(i)

time frame for correction, where appropriate.

(a)

are free from any contractual or pecuniary obligation to the airport, operator or entity to be monitored; and

(b)

have the appropriate competencies, which include sufficient theoretical and practical experience in the relevant field.

(a)

an understanding of current applicable security measures and how they are applied to the operations being examined including:

(b)

a working knowledge of security technologies and techniques;

(c)

a knowledge of compliance monitoring principles, procedures and techniques;

(d)

a working knowledge of the operations being examined;

(e)

an understanding of the role and powers of the auditor.

(a)

obtain immediate access to all relevant areas including aircraft and buildings for monitoring purposes; and

(b)

require the correct implementation or repetition of the security measures.

(a)

intentional obstruction or impediment of an auditor;

(b)

failure or refusal to supply information requested by an auditor;

(c)

when false or misleading information is supplied to an auditor with intent to deceive; and

(d)

impersonation of an auditor with intent to deceive.

(a)

as soon as possible, but within 24 hours at the latest in case the incident has a serious and immediate impact on the level of aviation security;

(b)

within 72 hours, where the incident has a serious impact on the level of aviation security;

(c)

on a monthly basis, in the case of all other incidents.