This document is an excerpt from the EUR-Lex website
Document 52013DC0523
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL 2012 ANNUAL REPORT ON THE IMPLEMENTATION OF REGULATION (EC) N° 300/2008 ON COMMON RULES IN THE FIELD OF CIVIL AVIATION SECURITY
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL 2012 ANNUAL REPORT ON THE IMPLEMENTATION OF REGULATION (EC) N° 300/2008 ON COMMON RULES IN THE FIELD OF CIVIL AVIATION SECURITY
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL 2012 ANNUAL REPORT ON THE IMPLEMENTATION OF REGULATION (EC) N° 300/2008 ON COMMON RULES IN THE FIELD OF CIVIL AVIATION SECURITY
/* COM/2013/0523 final */
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL 2012 ANNUAL REPORT ON THE IMPLEMENTATION OF REGULATION (EC) N° 300/2008 ON COMMON RULES IN THE FIELD OF CIVIL AVIATION SECURITY /* COM/2013/0523 final */
REPORT
FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL This
report covers the period 1 January – 31 December 2012 INTRODUCTION 2012 marked the year in which the first transitional period for the new
aviation security measures introduced by Regulation (EC) 300/2008 and its implementing
provisions came to an end. This concerned the requirement to either establish a
secure supply chain for in-flight supplies and airport supplies or to screen 100%
of such supplies upon entry in security restricted areas at airports. In its
inspections throughout the year 2012, the Commission therefore put a lot of
emphasis on verifying compliance with these new requirements. Furthermore, the supplementing provisions to Regulation (EC)
300/2008 were significantly amended. On one hand, the amendments aimed at fine-tuning
or further clarifying the existing procedures for certain aviation security measures.
On the other hand, complex new measures were introduced for air cargo and air
mail being carried into the Union ("ACC3"). Finally, the regime on EU
aviation security validation was significantly strenghthened. Two changes were later
incorporated to ensure a secure supply chain and a reliable validation system
at Third Country airports, at which air cargo and air mail bound to the Union shall be loaded onboard an aircraft, to be in place by mid 2014. This was in reaction
to the Yemen air cargo bombs incident that took place in October 2010. With regard to liquid explosives, a reappraisal on the present
threat to civil aviation confirmed that the related risk must still be
considered high and must be addressed by aviation security measures. However,
it became clear in the course of the year that removing the current
restrictions on carrying liquids, aerosols and gels (LAGs) as hand luggage by
the deadline of 29 April 2013 would not be feasible due to operational
difficulties with screening equipment that would likely result in significant
inconvenience for air passengers. Draft legislation was prepared to revise the
approach by phasing in screening, starting with duty-free LAGs by 31 January
2014. Finally, arrangements for the mutual recognition of the respective
air cargo and mail security regimes of the EU and the United States (U.S.) were
concluded. This is an important achievement for EU exports and eliminates
duplication in the application of security measures, and thus in turn
translates into cost and time savings for air cargo and mail operators. PART ONE The Inspections 1. General The Commission is required, under the terms of Regulation (EC)
300/2008, to conduct inspections of Member States' aviation security
administrations (the 'appropriate authorities') and of EU airports. Switzerland is also covered by the Union programme, while Norway and Iceland are inspected against
parallel provisions by the EFTA Surveillance Authority (ESA). To carry out its
inspection work, the Commission has a team of 10 full and part time aviation
security inspectors. This inspection work is supported by a pool of national
inspectors nominated by Member States, Iceland, Norway and Switzerland who were certified by the Commission under the new legal framework. 57 of these
national inspectors took part in the 2012 inspections. A chart summarising all
Commission and ESA compliance monitoring activities to date is attached in an
Annex. 2. Inspections of national
appropriate authorities The Commission
monitored eleven (11) appropriate authorities during 2012, all of which had
been subject to a previous Commission inspection. For several Member States,
these inspections showed significant improvements from the past. The
deficiencies most commonly found in 2012 were similar to those identified in inspections
in 2011 and mainly related to the yet outstanding full alignment of the National
Aviation Security Programmes and the National Quality Control Programmes to the
new legal framework of Regulation (EC) 300/2008. As regards the implementation
of aviation security measures, there was still evidence in some Member States
of a lack of capacity to detect and correct failures swiftly. Some Member
States had failed to monitor all aspects of the legislation and some airports
went uninspected by the national authorities for long periods. Follow-up
activities were sometimes inadequate or not carried out, and it was not unusual
to find significant delays before deficiencies were corrected. Sanctions were
available to all Member States, but were not always strong enough or used in
such a way as to provide an effective deterrent effect. The financial
crisis and resulting pressure on public budgets affected the resources
available for national compliance monitoring activities in certain Member
States. 3. Initial inspections at
airports Twenty-three (23) initial inspections of airports were conducted
during 2012, an increase by 4 inspections in comparison to 2011 mainly due to
the fact that a number of smaller airports requiring a lower number of
inspectors were covered. All chapters were covered (although not during each
inspection). The overall percentage of core measures found to be in compliance
in 2012 rose to 83%. The deficiencies which were found in the area of traditional
measures[1] tended to stem, by and large, from human factor issues. These
mainly related to the quality of staff screening as well as to certain cargo
security requirements. In particular, the inadequate quality of hand searches
of staff continued to be a challenge. In the area of cargo, most
non-compliances related to the standards for applying screening. These human
factor issues should be addressed through better training and supervision. Furthermore, certain additional measures introduced under the new
regulatory framework of Regulation (EC) 300/2008 had not yet been satisfactorily
implemented at the airports inspected in 2012. Non-compliances arose in
relation to methods and standards of security controls of in-flight supplies
and, in particular, of airport supplies (where a secure supply chain had not
yet been fully deployed), missing risk assessment for the frequency of patrols
at airports, re-certication of screeners operating x-ray or explosive detection
system equipment and high risk cargo and mail. Member States’ appropriate
authorities should actively pursue the implementation of these newer
provisions. 4. Follow-up inspections In accordance with Article 13 of Regulation 72/2010[2], the Commission routinely carries out a limited number of follow-up
inspections. Where several serious deficiencies have been identified during the
initial inspection, but also to a lesser extent on a random basis to verify the
accuracy of national compliance monitoring activities and reporting, a further
visit will be scheduled. Three (3) such activities were carried out during 2012
and mostly confirmed the adequate rectification of identified deficiencies. 5. Open files, Article 15
cases and legal proceedings Inspection files remain open until the Commission is satisfied that
appropriate rectification action has been implemented. 24 files (14 airport and
10 appropriate authorities) were closed during 2012. In all, 14 appropriate
authority and 27 airport inspection files remained open at the end of the year. If deficiencies found at an airport are considered so serious as to
present a significant threat to the overall level of civil aviation security in
the Union, the Commission will activate Article 15 of Regulation (EU) No. 72/2010.
This means that all other appropriate authorities are alerted to the situation
and additional measures would have to be considered in respect of flights from
the airport in question. One Article 15 case was initiated in May 2012, which
was closed a month later when the deficiencies had been satisfactorily corrected. The other possible enforcement measure in the most serious cases, or
in cases of prolonged non-rectification or reoccurrence of deficiencies, is to
open infringement proceedings. In 2012, one infringement proceeding was initiated
following inspections of a national administration. The concerned Member State failed to maintain the national aviation security programme. During the year,
three (3) infringement cases could be closed following rectification of the
identified shortcomings. At the end of 2012, no infringement case was in
progress. 6. Member States' own
evaluations Point 18.1 of the Annex II to Commission Regulation (EU) 18/2010[3]
obliges Member States to submit an annual report to the
Commission by the end of March each year, covering the results of their
national compliance monitoring for the period January to December of the preceeding
year. The Member States’contributions for the reporting period January to December
2011 were submitted on time and all followed the Commission template. The main deficiencies
identified related to the fact that some Member States still failed to cover all
security measures, did not carry out sufficient covert testing and could
further strengthen their follow-up activities and enforcement regime. Furthermore,
a lack of national quality control of regulated agents / suppliers and known
consignors / suppliers – other than, where applicable, for validation purposes
– was identified. PART TWO The Legislation and supplementary
tools 1. General The
underwear-bomber incident during Christmas 2009, the Yemen cargo bomb incident
in late 2010, several laser pointer threats in early 2012 and potential cyber
attacks as well as a remaining high vulnerability for liquid explosives all
served as reminders that civil aviation continues to be targeted in new and
innovative ways, which should be addressed with adequate and risk based protection
measures. New aviation
security legislative acts adopted in the year 2012 aimed firstly at further refining
the legal framework under Regulation (EC) 300/2008 and secondly at defining the
new common basic standards for EU aviation security validation. 2. Supplementary legislation
adopted The new legislative texts adopted during 2012 were: ·
Regulation (EU) 173/2012[4] concerning clarification and
simplification of certain specific aviation security measures; ·
Regulation (EU) 711/2012[5] as regards methods used for
screening persons other than passengers and items carried; ·
Regulation (EU) 1082/2012[6] in respect of EU aviation
security validation; ·
Decision C(2012)1228[7] concerning clarification and
simplification of certain specific aviation security measures; ·
Decision C(2012)5672[8] laying down detailed measures
for the implementation of the common basic standards on aviation security in
respect of air cargo and mail; ·
Decision C(2012)5880[9] as regards the methods used for
screening persons other than passengers and items carried. These texts were
finalised during 6 regular meetings of the Aviation Security Regulatory
Committee, 6 meetings of the Stakeholders’ Advisory Group on Aviation Security
and a number of focussed working group sessions, in which both Member States and industry were involved. 3. regulated agent and known
consignor database The "European
database of regulated agents and known consignors" RAKCdb[10] has been the only legal
primary tool to be used by regulated agents for consultation when accepting
consignments from another regulated agent or from a (EU aviation security
validated) known consignor since 1 June 2010 and, since 1 February 2012,
contains the list of air carriers authorised to carry cargo and mail into the
EU from Third country airports. It is operated under a Commission framework
contract. At the end of 2012, the RAKCdb contained approximately 16,000 records
of regulated agents, (EU aviation security validated) known consignors and ACC3
entities. Its contractually agreed availability rate of 99.5% was continuously
met in 2012, too. 4. eu airport inspections –
handbooks Regulations (EC) 300/2008 and (EU) 72/2010 require that compliance
monitoring by the Commission services on civil aviation security requirements shall be objective and
using a standard methodology. To contribute to
this aim the Commission has set up and maintains two comprehensive handbooks
with detailed prompts and guidance for EU inspectors in the field. One handbook
covers inspections in the field of air cargo security while the other one deals
with airport inspections. In April 2012, both handbooks were revised to take
account of the latest changes introduced to the implementing rules and to add
additional prompts and guidance for inspectors. PART THREE Trials, Studies and New Initiatives 1. Trials A 'trial' in the sense of the EU aviation security legislation is
conducted when a Member State agrees with the Commission that it will use a
particular means or method not recognised under the terms of the legislation to
replace one of the recognised security controls, for a limited period of time on condition that such trial does not impact
negatively on the overall levels of security. The term
does not, in the legal sense, apply when a Member State or entity is conducting
an evaluation of a new security control deployed in addition to one or more of
those already covered by the legislation. In the course of 2012, trials and evaluations were conducted in Luxemburg, Spain, France, the Netherlands and the United Kingdom. These concerned the use
of simulation trace detection chambers (cargo and mail), shoe analyser metal
detectors, backscatter security scanners, different algorithms for security scanners,
auto clear screening of cabin baggage and the combined use of hand held metal
detectors and explosive trace detection for screening of passengers in specific
cases. 2. Studies and Reports By mid 2012 the final report on the Threat Image Projection (TIP)
that is largely used at EU airports in screening cabin baggage, items carried
and hold baggage was submitted by the consultant Booz&Co. It mainly
confirmed that, if adequatley deployed, TIP has the potential to positively
impact screener performance. However, it also concluded that under the current legal
deployment framework, no difference in the performance in detecting prohibited
articles can be established between TIP and non-TIP airports. The consultant
therefore made a number of recommendation to improve the current deployment
framework. Furthermore, the same contractor worked on a study assessing the
impact of screening of liquids, aerosols and gels (LAGs) at airports with a
view to the (former) 29 April 2013 deadline for lifting
restrictions for LAGs carried on by passengers. The study was completed by a Commission
reappraisal of the threat and risk of liquids explosives, which led to the
conclusion that the risk posed by such substances remains high and must be
adequately addressed through screening. Finally, data obtained in surveys and
consultations with the industry and in intense working groups with Member
States showed that should the aforementioned deadline be kept the demand would
exceed the supply of liquid explosive detection systems (LEDS) under the full
implementation of LAGs screening within the highly probable scenario of
operational difficulties at European airports and severe inconvenience to the
passengers concerned[11]. The Commission intensively discussed with Member States three major
options included in the independent SCENIHIR (Scientific Committee on Emerging
and Newly Identified Health Risks) report on health effects of x-ray scanners[12]: a) no changes to current
legislation, b) adding backscatter security scanners to the list of allowed
screening methods for passengers and c) amending current legislation in a sense
that already deployed x-ray security scanners emitting radiation below a
certain ceiling could be used until the end of their economic lifetime. The
report was a follow-up commitment by the Commission to a legislative proposal
in aviation security and was approved on 26 April 2012 3. New Initiatives One of the main on-going rulemaking files in aviation security is
the amendment of the current legislation on the restrictions on the carriage of
liquids, gels and aerosols. Lifting of these restrictions has been planned for
many years and been subject to several previous revisions of legislation. In
2012 the Commission together with MS, airports and the manufacturers of
detection equipment engaged in trials and committed a study. This resulted in the
conclusion that full liquid screening as of April 2013 is not feasible as
necessary equipment has not started to be deployed at EU airports. In July 2012
the Commission forwarded a report on these conclusions and its proposals for
the way forward to the Council and the European Parliament. In November 2012 the EU Regulatory Committee for Civil Aviation
Security gave its positive opinion on the Commission proposals to implement the
first phase of liquid screening by 31 January 2014 at the latest and the legislation
was finally adopted by the Commission in the month of March 2013. As mandated in the air cargo security action plan, the Commission
has extended its action in this area by establishing the regulatory framework
for cargo and mail being carried into the Union from Third Countries and a
robust EU aviation security validation also applicable outside the jurisdiction
of the European Union. Its first phase entered into force on 1 Feburary 2012. Since
that date air carriers that wish to carry cargo and mail into the Union from third country airports have to register as so-called "ACC3"[13]. To harmonise and ease the
related registration and consultation mechanism in the Member States as well as
for the Commission, new functionalities on ACC3 were deployed in the
"European database of regulated agents and known consignors (RAKCdb)"
in the last quarter of 2012. Close co-operation was pursued with customs authorities as regards a
possible harmonisation of AEO (Authorised Economic Operator) scheme to the
Aviation Security validation regimes for regulated agents and known consignors
of cargo and mail. 'The aim of this exercise is to avoid double validation for
economic operators, where their core business within these two regulatory
frameworks largely overlaps and at the same time to identify any possible gaps
that may weaken the air cargo security and proposed appropriate measures to
close them.'" As part of the Commission's work programme on critical
infrastructure protection and in the framework of the EU Reference Network for
Critical Infrastructure (ERNCIP) a new thematic subgroup on aviation security
technology was launched in early 2012. A working group consisting of interested MS and industry has been
established under the framework of the "agenda for the future". The
group established an action plan to analyse possibilities to increase
efficiency in aviation security. Work on two concrete actions has started in
2012: a) a risk assessment on passenger related risks and b) a study has been
commissioned to analyse different concepts related to passenger
differentiation. In the future it could be envisaged that the Aviation Security
(AVSEC) Committee itself could steer future implementation of an action plan by
including a standing item on its agenda. PART FOUR Dialogue with International Bodies and
Third Countries 1. General The Commission
is fully engaged with international bodies and key third country partners and
is regularly represented at international meetings, generally co-ordinating the
EU position and often making presentations or submitting papers. Dialogues are
also opened, as appropriate, with individual third countries on issue of local
concern or shared interest, such as exemptions from the normal requirements
governing the carriage of liquids purchased in duty free outlets. Such contacts
enable the EU to both keep abreast of and disseminate good practice as well as
to influence global decision making. The link and coherence between the
internal and external security needs to be ensured. According to the new legal
framework set up by the Lisbon Treaty, the EEAS will be fully consulted in the
engagement with international bodies and third countries in order to ensure
coherence and complementarity with specific political dialogues launched by the
EEAS. 2. International bodies The Commission attends the annual ICAO aviation security panel and
presented in its 2012 session (26 – 30 March 2012) four working papers (one on
liquids, two on cargo and one on transparency of security measures). These were
well received. The Commission
also regularly takes part in meetings of the ECAC Technical Task Force and
Training Task Force. Conclusions drawn by each of these groups have
subsequently formed the basis of discussions during meetings of the Regulatory
Committee and its associated working groups. To avoid overlaps or duplication
of work, a Memorandum of Understanding was signed between the Commission and
ECAC in the second half of 2012. Moreover,
harmonised measures have been addressed in the follow-up of a EUROCONTROL
seminar on laser threat. The main goal of this exercise was to bring together
stakeholder groups with a vested interest in this issue, so that they could
consider adopting a collective approach to reducing the growing threat of
unauthorised laser interference in aviation. 3. Third countries The Commission actively continued the dialogue with aviation
security issues with the US in a number of fora, in particular the EU-US
Transportation Security Cooperation Group within the framework of the reached
one-stop security[14]. Additionally, the next milestone in the transatlantic co-operation
on aviation security was passed mid-2012 with the mutual recognition of the
respective air cargo and mail regimes of the European Union and the United States. The Commission furthermore intervened on a number of occasions when
Member States raised particular concerns about additional security demands from
third countries, which appeared to give inadequate consideration to the robust
EU systems already in place. This sometimes involved the continued US practice
of issuing, without prior consultation, Emergency Amendments to airlines
operating from the EU, every so often causing significant difficulties for EU
stakeholders. The Commission took part in one inspection at an airport in the United States of America to monitor compliance in certain security measures within the
framework of the aforementioned one-stop agreement. The Commission also started negotiations with Canada and Israel with a view to establish an agreement regarding one-stop security with these
countries. CONCLUSION A high level of security continues to be ensured in the EU. Commission
inspections have shown a slightly increased level of compliance with main
regulatory provisions. In traditional measures, deficiencies identified in the
areas of staff and cargo screening requirements tended, by and large, to stem
from human factor issues. Further non-compliances found in the additional
measures implemented under the new legal framework of Regulation (EC) 300/2008
were related to security controls of airport supplies (where a secure supply
chain had not yet been fully deployed), patrols at airports, re-certification
of screeners operating certain security equipment and high risk cargo and mail.
Commission recommendations for corrective action were on the whole followed up
satisfactorily, but the inspectors' findings confirm the importance of a robust
EU inspection regime and of adequate quality assurance at Member State level. The Commission will continue its efforts to ensure that all legal requirements are
fully and correctly implemented, instigating formal infringement procedures if
necessary. On the
legislative front, further detailed implementing rules were adopted during 2012
to ensure that the new basic Regulation (EC) 300/2008 is applied in a harmonised
way and in order to meet new threats or better mitigating existing threats. Annex Commission inspections as at 31.12.2012 State || Number of inspections 01/2012 -12/2012 (including follow-ups) || Total number of inspections 2004-2012 (including follow-ups) Austria || 0 || 9 Belgium || 1 || 11 Bulgaria || 1 || 7 Cyprus || 1 || 7 Czech Republic || 1 || 8 Denmark || 1 || 10 Estonia || 1 || 6 Finland || 2 || 10 France || 2 || 17 Germany || 2 || 19 Greece || 1 || 14 Hungary || 1 || 8 Ireland || 1 || 9 Italy || 2 || 17 Latvia || 2 || 7 Lithuania || 1 || 5 Luxembourg || 1 || 7 Malta || 0 || 3 Netherlands || 3 || 10 Poland || 1 || 10 Portugal || 2 || 10 Romania || 3 || 6 Slovakia || 1 || 5 Slovenia || 1 || 5 Spain || 1 || 15 Sweden || 1 || 12 United Kingdom || 3 || 20 Non-EU Members || || Switzerland || 0 || 5 TOTAL || 37 || 272 EFTA Surveillance Authority
inspections as at 31.12.2012 State || Number of inspections 01/2012-12/2012 (including follow-ups) || Total number of inspections 2004-2012 (including follow-ups) Iceland || 0 || 9 Norway || 5 || 40 TOTAL || 5 || 49 [1] Measures are defined as ‘traditional’ if already
applicable under the legal framework of Regulation (EC) 2320/2002. [2] Commission
Regulation (EU) No 72/2010 of 26 January 2010 laying down procedures for
conducting Commission inspections in the field of civil aviation security, OJ L23
of 27.1.2010, p.1 [3] Commission Regulation (EU) No 18/2010 of 8 January
2010, amending Regulation (EC) 300/2008, OJ L7 of 12.1.2010, p.3 [4] Commission Regulation (EU) No 173/2012 of 29 February
2012, amending Regulation (EU) No 185/2010, OJ L 59 of 1.3.2012, p.1 [5] Commission Regulation (EU) No 711/2012 of 3 August
2012, amending Regulation (EU) No 185/2010, OJ L 209 of 4.8.2012, p.1 [6] Commission Regulation (EU) No 1082/2012 of 9 November
2012, amending Regulation (EU) No 185/2010, OJ L 324 of 22.11.2012, p.25 [7] Decision C(2012)1228 final, notified to all Member
States on 29.2.2012 ; not published in the OJ [8] Decision C(2012)5672 final, notified to all Member
States on 10.8.2012 ; not published in the OJ [9] Decision C(2012)5880 final, notified to all Member
States on 23.8.2012; not published in the OJ [10] The Commission set up this database, the use of which
is mandatory for actors in the supply chain through Regulation (EU) No 185/2010
and Decision (2010) 774. [11] The deadline for a full deployment of LAGs screening was
postponed to 31/01/2014; Commission Regulation (EU) No 246/2013 of 19 March
2013, amending Regulation (EU) No. 185/2010, OJ L 77 of 20 March 2013, p. 8 [12] http://ec.europa.eu/health/scientific_committees/emerging/docs/scenihr_o_036.pdf [13] Commission Regulation (EU) No 859/2011 of 25 August
2011, amending Regulation (EU) No 185/2010, OJ L 220 of 26.8.2011, p. 9 [14] Applicable as from 1.4.2011 for aircrafts, passengers
and their cabin baggage and hold baggage arriving from the US – Commission
Regulation (EU) No 983/2010 of 3 November 2010, amending Regulation (EU) 185/2010,
OJ L286 of 4.11.2010, p.1