This document is an excerpt from the EUR-Lex website
Document 32013R0654
Commission Implementing Regulation (EU) No 654/2013 of 10 July 2013 amending Regulation (EU) No 185/2010 in respect of EU aviation security validation checklists for third country entities Text with EEA relevance
Commission Implementing Regulation (EU) No 654/2013 of 10 July 2013 amending Regulation (EU) No 185/2010 in respect of EU aviation security validation checklists for third country entities Text with EEA relevance
Commission Implementing Regulation (EU) No 654/2013 of 10 July 2013 amending Regulation (EU) No 185/2010 in respect of EU aviation security validation checklists for third country entities Text with EEA relevance
IO L 190, 11.7.2013, p. 1–30
(BG, ES, CS, DA, DE, ET, EL, EN, FR, HR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)
No longer in force, Date of end of validity: 14/11/2015; Arna aisghairm go hintuigthe ag 32015R1998
11.7.2013 |
EN |
Official Journal of the European Union |
L 190/1 |
COMMISSION IMPLEMENTING REGULATION (EU) No 654/2013
of 10 July 2013
amending Regulation (EU) No 185/2010 in respect of EU aviation security validation checklists for third country entities
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 300/2008 of the European Parliament and the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 (1) and in particular Article 4(3) thereof,
Whereas:
(1) |
Commission Regulation (EU) No 185/2010 of 4 March 2010 laying down detailed measures for the implementation of the common basic standards on aviation security (2) contains detailed rules for EU aviation security validation. |
(2) |
Checklists are the instrument to be used by the EU aviation security validator for assessing the level of security applied to EU/EEA bound air cargo or air mail. It is necessary to add two further checklists to the existing ones in order to establish full implementation of the EU aviation security validation regime. |
(3) |
Regulation (EU) No 185/2010 should therefore be amended accordingly. |
(4) |
The measures provided for in this Regulation are in accordance with the opinion of the Committee on Civil Aviation Security set up by Article 19(1) of Regulation (EC) No 300/2008. |
HAS ADOPTED THIS REGULATION:
Article 1
The Annex to Regulation (EU) No 185/2010 is amended in accordance with the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the date of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 10 July 2013.
For the Commission
The President
José Manuel BARROSO
ANNEX
The Annex to Regulation (EU) No 185/2010 is amended as follows:
1) |
The following Attachment is inserted after Attachment 6-C: ‘ ATTACHMENT 6-C2 VALIDATION CHECKLIST FOR THIRD COUNTRY EU AVIATION SECURITY VALIDATED REGULATED AGENTS 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 European 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 (*1) or Iceland, Norway and Switzerland are required by Regulation (EU) No 185/2010. The checklist is the instrument to be used by the EU aviation security validator for assessing the level of security applied to EU/EEA bound air cargo or air mail (*2) by or under the responsibility of the entity seeking designation as an RA3. The checklist is to be used only in the cases specified in point 6.8.4.1(b) of the Annex to Regulation (EU) No 185/2010. In the cases specified in point 6.8.4.1(a) of that Annex, the EU aviation security validator shall use the ACC3 checklist. If the EU aviation security validator concludes that the entity has succeeded in complying with the objectives referred to in this checklist, a validation report shall be given to the validated entity. The validation report shall state that the entity is designated Third Country EU aviation security validated Regulated Agent (RA3). The RA3 shall be able to use the report in its business relations with any ACC3. Integral parts of the validation report shall include at least all of the following:
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. 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 Regulation (EU) No 185/2010. For those parts that cannot be assessed against the requirements of Regulation (EU) No 185/2010, 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). If the EU aviation security validator concludes that the entity has failed to comply with the objectives referred to in this checklist, the entity shall receive a copy of the completed checklist stating the deficiencies. Completion notes:
PART 1 Identification of the entity validated and the validator
PART 2 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/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/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:
Reference: Point 6.8.3.
PART 3 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 (permanent, temporary, agency staff, drivers, etc.) with direct and unescorted access to air cargo/air mail to which security controls are being or have been applied:
Note:
Reference: Point 6.8.3.1.
PART 4 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. An RA3 may 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 6.8.4.1, from which it directly accepts cargo or mail to be delivered to an ACC3 for carriage into the Union:
Reference: Points 6.8.3.1 and 6.8.4.3. Note: An RA3 may only accept cargo from an AC3 as secure cargo, if this RA3 has designated this consignor itself as AC3 and accounts for the cargo delivered by this consignor.
PART 5 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/EEA bound air cargo and air mail for transfer, transit or unloading at an 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. Note: Although point 6.8.3.2 allows applying ICAO standards as a minimum to implement the provisions of point 6.8.3.1 until 30 June 2014, the EU aviation security validation takes into account the EU screening requirements, even if the validation is performed before 1 July 2014. Reference: Point 6.8.3.
PART 6 High Risk Cargo or Mail (HRCM) 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/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. 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.
PART 7 Protection of secured air cargo and mail Objective: The RA3 shall have procedures in place to ensure EU/EEA bound air cargo and/or air mail is protected from unauthorised interference and/or any tampering from the point of 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 (barriers, locked rooms, etc.), human (patrols, trained staff, etc.) and technological (CCTV, intrusion alarm, etc.). EU/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.
PART 8 Documentation Objective: The security status of a consignment shall be indicated in the documentation accompanying the consignment, 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. The security status shall be issued by the RA3. Reference: Points 6.3.2.6(d) and 6.8.3.4. Note: the following security statuses may be indicated:
PART 9 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 is transferred to an ACC3 or another RA3. This includes protection during transportation to the aircraft, otherwise 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.
PART 10 Compliance Objective: After assessing the nine previous parts 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/EEA bound air cargo/air mail. Two different scenarios are possible. The EU aviation security validator concludes that the entity:
In general, the EU aviation security validator has to decide if cargo and mail handled by the validated entity is treated in such a way that at the moment it is delivered to an ACC3 or another RA3 it may be deemed to be secure to be flown to the EU/EEA in accordance with the applicable Union regulations. The EU aviation security validator has to keep in mind that the assessment is based on an overall objective-based compliance methodology.
Name of the validator: Date: Signature: ANNEX List of persons and entities visited and interviewed Providing the name of the entity, the name of the contact person and the date of the visit or interview.
(*1) European 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." (*2) EU/EEA bound air cargo/air mail/aircraft in this validation checklist is equivalent to EU and Iceland, Norway and Switzerland bound air cargo/air mail/aircraft.’ " |
2) |
The following Attachment is inserted after Attachment 6-C3: ‘ ATTACHMENT 6-C4 VALIDATION CHECKLIST FOR THIRD COUNTRY EU AVIATION SECURITY VALIDATED KNOWN CONSIGNORS 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 Known Consignor (KC3). A KC3 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. A (KC3) shall ensure that security controls 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 transferring to an ACC3 or a third country EU aviation security validated regulated agent (RA3). The prerequisites for carrying air cargo or air mail into the Union (EU) or Iceland, Norway and Switzerland are required by Regulation (EU) No 185/2010 as amended by Implementing Regulation (EU) No 859/2011 and Commission Implementing Regulation (EU) No 1082/2012 (*3). The checklist is the instrument to be used by the EU aviation security validator for assessing the level of security applied to EU/EEA bound air cargo or air mail by or under the responsibility of the entity seeking designation as a KC3. The checklist is to be used only in the cases specified in point 6.8.4.1(b) of the Annex to Regulation (EU) No 185/2010. In cases specified in point 6.8.4.1(a) of said Annex, the EU aviation security validator shall use the ACC3 checklist. If the EU aviation security validator concludes that the entity has succeeded in complying with the objectives in this checklist, a validation report shall be given to the validated entity. The validation report shall state that the entity is designated third country EU aviation security validated known consignor (KC3). The KC3 shall be able to use the report in its business relations with any ACC3 and any RA3. Integral parts of the validation report shall include at least all of the following:
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. By default, the validation report shall be in English. For those parts that cannot be assessed against the requirements of Regulation (EU) No 185/2010, 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). If the EU aviation security validation concludes that the entity has failed to comply with the objectives referred to in this checklist, this entity shall receive a copy of the completed checklist stating the deficiencies. Completion notes:
PART 1 Organisation and responsibilities
PART 2 Organisation and responsibilities of the third country EU aviation security validated known consignor Objective: No air cargo or air mail shall be carried to the EU/EEA without being subject to security controls. Cargo and mail delivered by a KC3 to an ACC3 or RA3 may only be accepted as secure cargo or mail if such security controls are applied by the KC3. Details of such controls are provided by the following Parts of this checklist. The KC3 shall have procedures in place to ensure that appropriate security controls are applied to all EU/EEA bound air cargo and air mail and that secure cargo or mail is protected until being transferred to an ACC3 or a RA3. Security controls shall consist of measures that reasonably ensure that no prohibited articles are concealed in the consignment. Reference: Point 6.8.3.
PART 3 Identifiable air cargo/air mail (‘Targetability’) Objective: To establish the point (or place) where cargo/mail becomes identifiable as air cargo/air mail. Targetability is defined as being able to assess when/where the cargo/mail is identifiable as air cargo/air mail.
N.B. Detailed information should be given on the protection of identifiable air cargo/air mail from unauthorised interference or tampering in Parts 6 to 9. PART 4 Staff recruitment and training Objective: To ensure that the required security controls are applied, the KC3 shall assign responsible and competent staff to work in the field of securing air cargo or air mail. Staff with access to identifiable air cargo possesses all the competencies required to perform their duties and are appropriately trained. To fulfil that objective, the KC3 shall have procedures in place to ensure that all staff (permanent, temporary, agency staff, drivers, etc.) with direct and unescorted access to air cargo/air mail to which security controls are being or have been applied:
Note:
Reference: Point 6.8.3.1.
PART 5 Physical security Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is protected from unauthorised interference and/or any tampering. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail. The entity has to demonstrate how its site or its premises is protected and that relevant access control procedures are in place. It is essential that access to the area where identifiable air cargo/air mail is processed or stored, is controlled. All doors, windows and other points of access to secure EU/EEA bound air cargo/air mail need to be secured or subject to access control. Physical security can be, but is not limited to:
Reference: Point 6.8.3.1.
PART 6 Production Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is protected from unauthorised interference and/or any tampering during the production process. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail. The entity has to demonstrate that access to the production area is controlled and the production process is supervised. If the product becomes identifiable as EU/EEA bound air cargo/air mail in the course of production, the entity has to show that measures are taken to protect air/cargo/air mail from unauthorised interference or tampering from this stage. Answer these questions where the product can be identified as EU/EEA bound air cargo/air mail in the course of the production process.
PART 7 Packing Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is protected from unauthorised interference and/or any tampering during the packing process. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail. The entity has to demonstrate that access to the packing area is controlled and the packing process is supervised. If the product becomes identifiable as EU/EEA bound air cargo/air mail in the course of packing, the entity has to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering from this stage. All finished goods need to be checked prior to packing. Answer these questions where the product can be identified as EU/EEA bound air cargo/air mail in the course of the packing process.
PART 8 Storage Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is protected from unauthorised interference and/or any tampering during storage. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail. The entity has to demonstrate that access to the storage area is controlled. If the product becomes identifiable as EU/EEA bound air cargo/air mail while being stored, the entity has to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering from this stage. Answer these questions where the product can be identified as EU/EEA bound air cargo/air mail in the course of the storage process.
PART 9 Despatch Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is protected from unauthorised interference and/or any tampering during the despatch process. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail. The entity has to demonstrate that access to the despatch area is controlled. If the product becomes identifiable as EU/EEA bound air cargo/air mail in the course of despatch, the entity has to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering from this stage. Answer these questions where the product can be identified as EU/EEA bound air cargo/air mail in the course of the despatch process.
PART 10 Consignments from other sources Objective: The KC3 shall have procedures in place to ensure that cargo or mail which it has not originated itself, shall not be forwarded to an ACC3 or an RA3 as secure cargo or mail. A KC3 may pass consignments which it has not itself originated to a RA3 or an ACC3, provided that:
All such consignments must be screened by an RA3 or ACC3 before they are loaded onto an aircraft.
PART 11 Transportation Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is protected from unauthorised interference and/or any tampering during transportation. If such cargo or mail is not protected, it cannot be accepted by an ACC3 or RA3 as secure cargo or mail. During transportation, the KC3 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 RA3. Answer these questions where the product can be identified as EU/EEA bound air cargo/air mail when transported.
PART 12 Compliance Objective: After assessing the eleven previous parts 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 EU/EEA bound air cargo/air mail. Two different scenarios are possible. The EU aviation security validator concludes that the entity:
In general, the EU aviation security validator has to decide if cargo and mail handled by the validated entity is treated in such a way that at the moment it is delivered to an ACC3 or an RA3 it may be deemed to be secure to be flown to the EU/EEA in accordance with the applicable Union regulations. The EU aviation security validator has to keep in mind that the assessment is based on an overall objective-based compliance methodology.
Name of the validator: Date: Signature: ANNEX List of persons and entities visited and interviewed Providing the name of the entity, the name of the contact person and the date of the visit or interview.
|
3) |
The following Attachments are inserted after Attachment 6-H1: ‘ ATTACHMENT 6-H2 DECLARATION OF COMMITMENTS — THIRD COUNTRY EU AVIATION SECURITY VALIDATED REGULATED AGENT (RA3) On behalf of [name of RA3] I take note of the following: This report establishes the level of security applied to EU/EEA bound air cargo operations in respect of the security standards listed in the checklist or referred to therein. [Name of RA3] can only be designated ‘third country EU aviation security validated regulated agent’ (RA3) once an EU aviation security validation has been successfully completed with a ‘PASS’ by an EU aviation security validator listed in the Union database for the regulated agents and known consignors. If the report establishes a non-compliance in the security measures it refers to, this could lead to the withdrawal of [name of RA3] designation as a RA3 already obtained for this premise which will prevent [name of RA3] from delivering secured air cargo or mail for EU/EEA destination to an ACC3 or another RA3. The report is valid for five years and shall therefore expire on … at the latest. On behalf of [name of RA3] I declare that:
On behalf of [name of RA3] I accept full responsibility for this declaration. Name: Position in company: Date: Signature: ATTACHMENT 6-H3 DECLARATION OF COMMITMENTS — THIRD COUNTRY EU AVIATION SECURITY VALIDATED KNOWN CONSIGNOR (KC3) On behalf of [name of KC3] I take note of the following: This report establishes the level of security applied to EU/EEA bound (*4) air cargo operations in respect of the security standards listed in the checklist or referred to therein (*5). [Name of KC3] can only be designated ‘third country EU aviation security validated known consignor’ (KC3) once an EU aviation security validation has been successfully completed with a ‘PASS’ by an EU aviation security validator listed in the Union database for the regulated agents and known consignors. If the report establishes a non-compliance in the security measures it refers to, this could lead to the withdrawal of [name of KC3] designation as a KC3 already obtained for this premise which will prevent [name of KC3] from delivering secured air cargo or mail for EU/EEA destination to an ACC3 or a third country EU aviation security validated regulated agent (RA3). The report is valid for five years and shall therefore expire on … at the latest. On behalf of [name of KC3] I declare that:
On behalf of [name of KC3] I accept full responsibility for this declaration. Name: Position in company: Date: Signature: (*4) Airports situated in 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, the United Kingdom as well as Iceland, Norway and Switzerland." (*5) Regulation (EU) No 185/2010 as amended by Implementing Regulation (EU) No 859/2011 and (EU) No 1082/2012.’ " |
(*1) European 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.
(*2) EU/EEA bound air cargo/air mail/aircraft in this validation checklist is equivalent to EU and Iceland, Norway and Switzerland bound air cargo/air mail/aircraft.’
(*3) OJ L 324, 22.11.2012, p. 25.’
(*4) Airports situated in 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, the United Kingdom as well as Iceland, Norway and Switzerland.
(*5) Regulation (EU) No 185/2010 as amended by Implementing Regulation (EU) No 859/2011 and (EU) No 1082/2012.’ ’